My client, a multinational investment bank is looking for an Equities Compliance Manager to join the team.
Responsibilities
- Provide advice on regulatory requirements and compliance issues
- Help manage contacts and relationships with regulators and handle related regulatory enquiries
- Maintain and update all relevant compliance manuals, policies and procedures
- Conduct sample reviews of SMARTs monitoring review to improve the trade monitoring process
- Perform regular compliance risk and controls assessments
- Provide compliance training to new hire employees and business
Requirements
- Degree holder with at least 5 years experience of relevant experience in financial services industries/ regulators/ securities exchange/ internal audit firms
- Sound knowledge is SMARTS surveillance system
- Good knowledge of cash equities, equities derivatives and market-making activities
- Fluent in Englisha and Cantonese, Mandarin is a plus
Please feel free to contact Calvin Chan at cchan@argyllscott.com.hk for more information or apply for the job.
Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.