Equities Compliance Officer
Location Hong KongCONTRACTOR
Consultant Carmen Chin
Date posted 03 July 20192019-07-03 2019-08-02 banking Hong Kong HK HKD 35000 50000 50000 MONTH Robert Walters https://www.robertwalters.com.hk https://www.robertwalters.com.hk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
Role Overview: The head of compliance is seeking for a compliance officer to assist the team with general compliance responsibilities ranging from AML to quality control testing to cash equities. This is a 3 to 6 month contract with a vision to become a permanent staff with a renowned asset management firm.
- Conduct and improve surveillance processes for cash equities trading, programme/algorithmic trading/ research, and various other business operations of the company
- Develop quality control testing related to the policies the firm has adopted, and ensure that problems are appropriately addressed and resolved
- Perform AML for Compliance and ensure the onboarding is reviewed/ approved
- Develop/ suggest enhancements to current AML process/ systems
- 2 - 5 years of compliance experience, preferably within AML and or equities compliance
- Past experience in AML compliance, client onboarding review and approval
- Strong written and spoken English, Cantonese is a plus
- Knowledge in general compliance will be an added advantage
- Ability to work autonomously
- Attention to details
This is a leading asset management firm with a strong global presence.