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AVP, Sales and Trading, Legal and Compliance
The role This position will work under Sales and Trading Compliance Team and report to the Deputy Head of LCD division.   Key accountabilities Develop and implement compliance policy and review program covering our equities, structured products and global commodities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong; Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk; Advise business and functional units on relevant compliance related matters such as reviewing new products / services and marketing materials; Participate in new product dev


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