CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Your new company Your new company is one of the best performing investment firms that is famous for its Corporate finance business in Hong Kong and APAC regions. Due to business need, they are seeking for a compliance professional to support their private-side business (IBD Compliance advisory, control room and research compliance) in Hong Kong.
Your new role Your role will be a Manager/AVP, IBD Compliance, reporting directly to the Head of IBD Compliance and work with a team of 10+ in Hong Kong. Your key objectives will be providing compliance advisory to their private-side/ corporate finance business, which include managing of the firm's conflicts, interpreting and assisting the business in enforcing applicable rules and regulations with an emphasis on those relating Chinese walls, investment banking and research.
Key duties as follow:
Provide verbal and written compliance advice in relation to all private-side/ investment banking business
Clearance of research and daily report
Perform employee trade data to determine compliance with the firm's personal trading policies and departmental requirements.
Conduct regular compliance training to relevant staff
Making Short-sell position reports to SFC
What you'll need to succeed With your bachelor degree, you will also possess at least 3 years' experience in private-side compliance at a reputable FI/ Investment bank in Hong Kong. You will show sound knowledge of research and investment banking products. You will be an ideal candidate if you are/were at a Control Room, Corporate finance compliance or research compliance position. Strong command of verbal and written English and Chinese is a must for daily operations purposes.
What you need to do now If you feel you fit the criteria and are interested in the role, please click 'apply now' or contact Charlene Yeung on +852 2230 7933 or email your CV to Charlene.email@example.com
Internal Number: 5864592
About Hays Banking & Financial Services Hong Kong
eFinancialCareers is a career site specializing in financial services.