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Compliance Associate, Fixed Income / MM (Prestige Foreign IB)

Employer
JAC International.
Location
Hong Kong, Hong Kong
Salary
Competitive
Closing date
Mar 24, 2019

View more

Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
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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