Equities Compliance, Global Market
Location : Central and Western District
Post Date : 12 July 2017
Our client is a growing, dynamic organization and a leader in the banking industry. You will be a part of the talented Equities Compliance team to provide a broad spectrum of compliance advisory and support on the trading floor.
- Provide compliance advisory and handle enquiries from traders
- Review transaction and product related proposals and provide comments
- Review and approving marketing materials, licensing matters, and compliance reporting
- Perform investigations on potential compliance breaches
- Review and update related compliance policies and procedures
- Liaise with regulators on regulatory inquiries and inspections
- Provide compliance training to internal staff
- Participating in compliance related roll out projects.
- University degree in Accounting and Finance, Economics, Business Administration, Law or related discipline
- 7-10 years of compliance experience in financial institutions
- Strong knowledge in equities products, and related regulatory requirements
- Good interpersonal and communication skills
- Analytical and independent mind
- Proficient in 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,