AVP, Compliance(Investment Bank, Securities)

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Salary : $480000 - $720000
Location : Central and Western District
Post Date :

Description :

The Company

Our client is a Chinese based Investment Bank with an expanding business, and your exceptional skills in compliance are needed to enhance their compliance functions. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be a part of a business that continually invest in its employees by providing ongoing training, networking and mobility.

The Role

Within the Legal & Compliance Department, you will serve as a team member to strengthen the compliance functions for their IBD and Asset Management business.

  • Handle enquiries from regulatory authorities on on/off-site inspections, licensing matters, etc.
  • Review and update compliance policies and procedures to ensure regulatory requirements
  • Provide compliance advisory to business units and other relevant counter parties
  • Maintain the Restricted and Watch list, staff dealing approval, conflict check, wall crossing approval
  • Perform KYC checking
  • Prepare periodic reports for senior management
  • Participate in compliance related ad hoc projects

Your Profile

  • University graduate with a background in Finance, Business, or Law
  • Minimum of 4 years of compliance experience in investment banking, asset management, or securities firms
  • Excellent interpersonal and communication skills
  • Proficient in both spoken and written Cantonese and English. Mandarin is a plus.

Apply Today

  • To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
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Hong Kong

21st Floor, Nexxus Building,
41 Connaught Road,
Hong Kong
Phone : +852 3653 7300

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