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Our client is a boutique US Investment Bank with sales & trading, capital markets, financial advisory services, research and brokerage businesses. They are seeking an experienced compliance professional reporting to the Head of Asia Compliance.
Based on the trading floor, responsibilities include but not limited to:
Providing timely compliance advice to the sales and trading teams across all business lines including equities, fixed income, investment banking and research
Building and maintaining relationships with the front office as well as other internal stakeholders
Providing training to the front office on regulatory and compliance matters
Seeking candidate with following qualification, background, experience and skill sets:
University degree level with excellent command of English
At least 7 years' relevant compliance experience gained from a major international investment bank or brokerage
Solid working knowledge of HK securities regulation, in particular relating to Equities. Experience in dealing with compliance and regulatory matters of other Asia jurisdiction will be an advantage
Excellent communication skills, proactive, engaging and team work oriented
If you have the right skillsets and experience please contact Laurence Munoz at email@example.com or +852 3589 6326