AVP, Compliance(Investment Bank, Securities)
Location : Central and Western District
Post Date : 03 August 2017
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.
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
- 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.
- To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
41 Connaught Road,