Securities/IBD Compliance, AVP/VP
Randstad Hong Kong
Hong Kong, Hong Kong

about the company

Our client is a leading Korean Financial Institute, which provides services in investment banking, capital markets, investment marketing etc

about the team

  • A team of 2 in Compliance
  • A stable working environment
  • about the job

  • Provide day-to-day regulatory advice and guidance on business operation and investment activities across all business units (investment banking, capital markets etc)
  • Maintain and modify firm's compliance policies, manuals and procedures to ensure the compliance with latest regulatory requirements and standard
  • Perform AML and compliance monitoring / screening, including KYC, on-boarding, due diligence, sanction screening etc
  • Perform regulatory / business compliance, staff personal account dealing, reviewing marketing materials, control room function etc
  • Liaise with regulators on ad hoc enquiries, questionnaire, inspections etc
  • skills & experiences required

  • University Degree in Law, Accounting, Finance, or relevant discipline
  • At least 5 years compliance advisory experience with exposure in investment banking or capital markets
  • Good command in both verbal and written English and Cantonese
  • To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email : joanne.lo


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