Equities Compliance Manager/AVP
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FULL_TIME
Salary Negotiable
Location Hong Kong
FULL_TIMEConsultant Reshma Gope
JobRef 1277800/001
Date posted 18 August 2023
hong-kong banking-financial-services/compliance 2023-08-18 2023-10-17 financial-services Hong Kong HK Robert Walters https://www.robertwalters.com.hk https://www.robertwalters.com.hk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png trueA top tier financial institution is looking for a equities compliance specialist to join their Hong Kong team. International brand, fantastic work culture and stable platform
Responsibilities-
- Provide real time equities compliance trading floor advisory to the business
- Monitor related changes to rules and regulations that affects the equities business
- Assist in the design and delivery of the Compliance training programme for the various business units
- Handle regulatory enquiries/inspections and internal investigations/audits
- Assist with surveillance and monitoring matters
Requirements:
- 3 + years of experience in trading floor equities compliance advisory
- Strong understanding of cash equities
- Good knowledge of SFC and HKEX regulations
- Good communication in English
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