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.
Assistant Manager, Regulatory Compliance - Top Tier Securities
Gravitas Recruitment Group
January 5, 2020
Our client is a highly recognisable stock brokerage firm with major business activities including Corporate Finance, Brokerage, Asset Management, Wealth Management, Institutional Equities, Currency and Commodities. Due to consistent ongoing growth, they are now searching for an experienced, high-calibre candidates to lead the compliance team.
The successful candidate will be supporting the compliance function in managing all regulatory enquiries from business and providing regulatory advice on a day-to-day basis. You will be part of the team to ensure the group is operating in line with laws and regulations.
Handling compliance enquiries for type 1, 2, 4, 5, 6 and 9 regulated activities
Handling regulators' inquiries and investigation
Conduct regulatory advisory to business and management
Perform monitoring and surveillance activities
Revise and update compliance policies and manuals
Coordinate compliance trainings, prepare regular repors and other ad-hoc tasks
3-5 years' compliance experience at FI or regulatory authorities
Good knowledge of SFO and SFC regulations for type 1, 2, 4, 5, 6 and 9 activities
Good command of English and Chinese including Putonghua
Good communication and analytical skills
What's On Offer
Well-known brand name, sizeable company
Dynamic working environment & excellent career path
Offer attractive remuneration package and comprehensive fringe benefits
Contact: Ruby So
For an initial confidential discussion please contact Ruby So at +852 3907 0744. You can also email your most updated CV to email@example.com