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Vice President, Equities Compliance- GLOBAL INVESTMENT BANK
Hays Banking & Financial Services Hong Kong
August 7, 2018
Your new company Your new company is one of the top-tier investment banks with an unsurmountable international presence stands out as a key player to watch. An opening has arisen for Vice President, Equities Compliance professional to join the regional compliance advisory team.
Your new role As a Vice President, you will be responsible for overseeing all compliance matters pertaining to the Hong Kong Equities business. Areas of responsibilities include:
Provide oral and written compliance advice to the equities coverage, including cash equities, listed derivatives and sales desk.
Conduct compliance risk assessments and participate in strategic projects with APAC regions
In response to issues identifications and escalations by evaluating, or performing investigative process.
Assist with preparations for regulatory exams and audits for FLU/CF.
Identify compliance training needs and inspect FLU/CF and third party participation for FLU/CF.
What you'll need to succeed You will have at least 8+ years' experience in global investment banks/ regulatory bodies with strong knowledge of local trading rules and regulations to Equities (Knowledge in Singapore rules would be a plus). You shall also demonstrate a solid product knowledge of equities/ listed derivatives to perform day-to-day tasks. Excellent interpersonal and communications skills are a must as you will be working closely with the front office at the trading floor. Strong command of verbal and written English and the ability to work independently and perform under pressure is essential.
What you need to do now If you identify with the above description, please send your CV and an expression of interest today to firstname.lastname@example.org. For a confidential discussion, please contact Charlene Yeung on +852 2230 7920.