Equities Compliance, Global Market

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Salary : $1200000 - $1440000
Location : Central and Western District
Post Date :

Description :

The Company

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.

The Role

  • 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.

Your Profile

  • 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.

Apply Today

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Hong Kong

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

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