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This incumbent is reporting to Head of Equity Compliance and works with a team of 5. Responsibilities:
Assist in the development and implementation of compliance review program;
Perform regular compliance review to identify compliance problems and cases of possible non-compliance with internal and external rules and regulations;
Perform the securities disclosure of interests monitoring and reporting requirements pursuant to the relevant laws and regulations;
Provide compliance advice on products and services of business units with particular focus on equities;
Such other duties as shall from time to time be directed by your superiors
Minimum 5 years of compliance / relevant experience in multi-national corporation or regulatory bodies
Good knowledge of the relevant legislations
Good advisory and communication skills
Excellent command of both written and spoken English and Chinese; ability to communicate in Mandarin preferred
Please apply in strict confidence with full resume, academic record, current and expected salaries. (The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidatee will be destroyed within six months.)