Vice President, Control Room Compliance & AML

Our client is a leading global securities and asset management firm with huge presence in Greater China. If you are seeking a strategic opportunity with plenty of remit, do not hesitate to look further!

Description

Role: VP, AML & Control Room

Location: Hong Kong

Salary: Competitive base salary with excellent annual bonus

Reporting to: Head of Compliance

Responsibilities:

• Developing Control Room policies and procedures
• Maintenance of the Watch, Grey and Restricted Lists
• Control of the central compliance inbox and replying to mails
• Coordinating and approving wall crossings
• Monitor private investment transactions and recording the review findings
• Maintaining the accuracy and completeness of the list of trading restrictions
• Evaluating waivers on post trade market abuse and sanctions alerts
• AML review and surveillance

Profile

• Experience commensurate with a mid / senior role, gained within the Control Room and/ or AML departments of an investment bank.
• Knowledge and understanding in relation to the HK Securities Rules, the Market Abuse Regime and rules and principles relating to the independence of research.
• Good understanding of AML rules and guidelines set by the SFC
• Must be able communicate in both English and Chinese (Mandarin and Cantonese)

Job Offer

Great working environment

Good benefits

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Jeremy Lam on +852 2848 4711.