Our client, a top tier investment bank in Hong Kong, is seeking for a high calibre individual to join their global Legal & Compliance team
Responsibilities:
Responding to compliance queries raised by the business and other logistics functions and at the same time, keeping abreast of regulatory developments in Asia and ensure that relevant businesses are advised of these developments and any implications they may have
Assist with development of internal policies and procedures specific to the equity business
Supervising the daily equities surveillance activities and identify any exceptions to local regulatory requirements and internal policies
Assist the Compliance Services team when there are regulatory examinations and participate in strategic regional Business and L&C as well as global business team initiatives
Work closely with the training department in delivering structured training to the equity businesses
Requirements:
Excellent understanding of fundamental compliance principles and Hong Kong regulatory requirements
Good understanding of the equity business
The ability in dealing with senior management within Legal and Compliance and Equities
Regular interaction with the Hong Kong regulators on a variety of issues
Interested parties please send your updated resume in WORD format with current and expected salaries (quoting Employer Ref:) to banking@aimHigher.com
