Compliance Associate, Fixed Income / MM (Prestige Foreign IB)
- Employer
- JAC International.
- Location
- Hong Kong
- Salary
- Competitive
- Closing date
- Mar 22, 2019
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Responsibilities:
- Provide consultation and advice to trading desks and Business Heads, in consultation with the Vice President as necessary
- To ensure and demonstrate compliance with the Operating Group Compliance Program
- Communicate and coordinate closely with Compliance and Supervision colleagues to monitor Regulatory developments in the context of current rules and industry trends
- Supervise trading activities to ensure compliance with all applicable regulations
- Monitor suspicious trading activities through Actimize
- Review marketing materials, business visits, gifts and entertainment record
- Provide administrative support for Vice President and any other supervisory tasks as assigned from time to time
Requirements:
- Solid knowledge of the CBIRC, SAFE, PBOC and related banking regulations essential; MAS, HKMA, OSFI and US regulations a plus
- Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions
- Able to read technical compliance material in Chinese and English and distil the applicability of the regulations to respective business unit(s)
- Strong analytical skills - analyze the evidence collected on remediated controls and determine if there is substantive conformance with requirements
- Advanced educational degree such as MBA, CPA, JD or CFA is a plus
Interested candidates, please kindly send your detailed resume including:
1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments
directly to: justin.wan@jac-recruitment.com and jac.hk@jac-recruitment.com
Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.
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