AVP - Equities Compliance
Chandler Macleod
Hong Kong, Hong Kong
source : EFinancialCareers Ltd
  • Well - renowned Financial Institution
  • Equities Enforcement
  • Competitive Remuneration
  • Responsibilities :

  • Be in charge for the execution of the inspection programme and the enforcement of the rules and regulations of the regulating body, and the regulations of the participants
  • Engage with businesses to conduct investigations on breaches of regulations and rules and proceed with disciplinary proceeds
  • Help with the implementation of new policies and procedures, to update current policies and procedures in response to recent changes in laws and regulations
  • Participate in rule enforcement projects and initiatives with other departments
  • Do regular compliance reviews with the monitoring and testing team to guide their reviews on market surveillance
  • Lead and manage the internal policies and procedures of the firm
  • Participate and interact in meetings in local and overseas regulators, market participants and internal teams
  • Requirements :

  • More than 6 years of experience in Compliance, or related fields such as legal preferably in Equity / Equities Derivatives Compliance
  • University degree in Business Administration, Law or related disciplines
  • Strong Knowledge in regulatory requirements and typical compliance procedures in relation to sales and trading
  • Strong command of written and spoken English and Chinese (Putonghua is required)
  • Excellent analytical skills and communication skills
  • Interested parties please click "Apply Now" or contact Cosmo Chau on +852 2833 4113 for more information.

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