Regional Head Compliance, Boutique US Investment Bank

4 days left

Recruiter
Profile Search & Selection Hong Kong
Location
Hong Kong
Salary
Negotiable
Posted
21 Aug 2017
Closes
26 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time

Our client is a boutique US Investment Bank with sales & trading, capital markets and financial advisory services, research and brokerage businesses. We are seeking a senior and experienced compliance professional to lead their Asia Compliance team, manage the compliance function and team members throughout the region and provide high level support to senior management.

Ideal candidate will have regional exposure to regulators (with a primary focus on the SFC), sales and trading floor experience and excellent stakeholder influencing skills. A focus on equities preferred.

Interested candidates should be able to demonstrate the following:

  • A track record in Compliance and at least 10 - 15 years of experience.
  • Build and maintain strong relationships with local and global counterparts
  • Maintain regulatory and exchange relationships
  • Ability to identify potential areas of compliance vulnerability and risk; developing/implementing corrective action plans for resolution of problematic issues, and providing preventive measures
  • Excellent communication and interpersonal skills

For further details on this and similar positions and to have a confidential discussion please contact Sonny Wong at swong@profileasia.com or +852 3589 6804.