AVP/VP- Investment Compliance Specialist

Recruiter
Aston Carter Hong Kong
Location
Hong Kong
Salary
Negotiable
Posted
14 Aug 2017
Closes
16 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time

Organisation

Our client is a global leader in the corporate and investment banking sector and located in more than 40 countries globally. Being part of the capital markets team and reporting to the team head, we are currently looking for either an AVP or VP to join the team.

Responsibilities

  • Update relevant policies to ensure they reflect regulatory requirements for FLU/CF.
  • Contribute to compliance risk assessments and to monitoring and testing coverage plans, related metrics, and the effectiveness of the front-line unit and control function compliance risk controls for FLU/CF.
  • Identify aggregate, report and escalate compliance risks, issues and control enhancements for FLU/CF.
  • Inspect that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other actions are completed for FLU/CF.

 

Requirements

  • Minimum 5-8 years of relevant Investment Banking or Capital Markets Compliance experience. In addition, experience in working in HKMA and SFC would be preferred.
  • The candidate needs to demonstrate good knowledge and experience in dealing with various regulatory framework in various jurisdictions in APAC.
  • If you are qualified lawyer, with strong product knowledge, you are more than welcome to apply as well.
  • Bachelor's Degree or Equivalent experience

Benefits

This is an excellent opportunity to work within a rapidly expanding business. This is also an opportunity to gain wider exposure in the Capital Market compliance space.

Application

To apply, please submit your resume in Word format directly using apply now or contact Polly Yeung on +852 3473 3064 for more information.