Equities Compliance - Global Investment Bank
- Employer
- Morgan McKinley
- Location
- Hong Kong, Hong Kong
- Salary
- Competitive
- Closing date
- Sep 19, 2024
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- Job Function
- Accounting/Audit/Tax
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Responsibilities
- Provide advisory on regulatory interpretation and compliance issues within the Derivatives business in HK and Greater China market
- Review new business initiatives from a local and international regulatory as well as Firm perspective
- Review compliance policies and procedures to ensure consistency and raise complaince standards
- Identify potential risk aspects and lead independent review, and monitor business and supervisory practice
- Develop training materials and provide training to Institutional Equity staff
- Participate in communications with industry professionals
- Assist on maintaining relationship with regulators and ensuring constructive conversations
- Bachelor degree in Business, Accounting, Law or any relevant discipline
- At least 3 years of work experience in investment banks or global markets as a Compliance or Internal Audit professional, also open to candidates with securities exchange or regulator
- Knowledge of HK and China regulatory and compliance requirements
- Knowledge of Retail Structured Products, Listed and OTC Derivatives, market making and principal hedging activities
- Sound risk and control mindset
- Good communication skills in English, fluency in Mandarin is advantageous
- Immediate availability is preferred
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