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INVESTMENT COMPLIANCE- (SVP/DIRECTOR)- STATE-OWNED FI
Hays Banking & Financial Services Hong Kong
October 13, 2018
Your new company Your new company is a major state-owned financial institution founded for decades in Hong Kong. They are looking to hire a senior member with key focus specifically on the equities compliance advisory that are in operation within the Compliance division and supervise both general compliance and AML team. This will involve assessing the function as a whole and strategising on the best ways to take the business forward.
Your new role
In charge of the compliance department for brokage business and supervising the AML division.
Reporting to the Chief Compliance Officer, you provide compliance advisory services to the business lines and Management relating to compliance with the Banking Ordinance, SFO and HKEx trading rules as well as the Group requirements
Drive compliance review that designed to meet SFC regulatory obligations which will include analysis of trading activity while being a go to person.
Utilising strong markets product knowledge to manage periodic reviews of trade and electronic communication surveillance output while challenging the status quo to achieve an optimal quality of surveillance.
What you'll need to succeed You will have at least 10 years Investment Banking/ brokerage compliance experience with excellent equities knowledge. You will come across highly consultative with strong investigative sense to liaise with senior management across the business lines of Equities as well as the senior compliance officers for each division. You must be have 5+ years' senior management experience and the ability to lead of mid-size team. Strong command of English and Chinese are essential. Verbal conversation in Mandarin is also a must.
What you need to do now If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV to email@example.com, or call Charlene directly on +852 2230 7933 now. If this job isn't quite right for you but you are looking for a new position within compliance, please contact me for a confidential discussion on your career.
Internal Number: 4679998
About Hays Banking & Financial Services Hong Kong
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