Compliance Manager, Equities
Level: VP
Client: Hong Kong Investment Bank
Location: Hong Kong
Position Description:
The Compliance Manager will be part of the Equities Compliance Team, reporting to the Head of Equities Compliance.
Key Areas of Responsibilities:
Provide day to day compliance advice to the organisation’s equities business and Equities Derivatives Business.
Maintain up to date compliance procedure for business to follow.
Resolve compliance issues.
Conduct monitoring e.g. SMARTS to identify irregular trading activities or business activities that are not in
compliance with internal procedures
Handle regulatory enquiries
Requirements:
8 years+ experience within an Investment Bank or regulator with detailed knowledge of the professional investor regime.
Understanding of equities business and equities derivatives business.
Sound knowledge of Hong Kong regulations i.e. SFO and SFC Code of Conduct.
Knowledge of SMARTs surveillance system is preferable.
Strong communication and interpersonal skills.
Strong analytical skills.
Ability to follow through and attentive to details.
Near-native written and spoken fluency in English and Mandarin.
Working relationships and experience with local regulators and knowledge of Alternate Liquidity Pool will be
highly regarded.
Strong Microsoft excel and words skills.