SM/VP- Business Compliance (Institution Business)

SM/VP- Business Compliance (Institution Business)

Your new company
Chinese well-established financial institution - SFC 1,2,4,5,9

Your new role
  • Oversee the compliance function for institution business
  • Ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
  • Provide prompt compliance advice, interpretation and recommendation on ECM / DCM / FICC / OTC Derivatives business and new financial products.
  • Carry out regular compliance check at front, middle and back offices
  • Perform and review regular compliance checking
  • Review and investigate Trade and Communication surveillance alerts

What you'll need to succeed

  • Degree holder in finance, law or related disciplines is preferable
  • Experience in supporting ECM,DCM business
  • At least 8 years relevant working experience in Financial institutions
  • Familiar with rules and regulations of the SFC
  • Able to work independently, self-motivated with strong sense of responsibility and analytical mind
  • Good command of English, Cantonese and Mandarin
  • Proficiency in MS Word, Excel

What you'll get in return
  • Competitive compensation package alongside consistent career development
  • Opportunities to work with experienced compliance experts within the field
  • Involvement in regional compliance projects
  • Transform the strategy and future of a well-established team

What you need to do now
If you are currently looking for a new role within the Banking and Financial Services AML/Compliance function, or potentially exploring the market? Feel free to contact myself on +852 2230 7485 for a confidential discussion, and send me your CV to #1244582


Job Type
Banking & Financial Services

Talk to a consultant

Talk to Natalie Choi, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: +85222307485

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