Description
*AVP Equities Compliance - Top Tier Investment Bank. Long term contract opportunity with excellent career prospects*
My client is looking for a compliance professional to be part of their growing business in Asia focused on their Equities business. This will be a full front-to-back role with external and internal relationship management.
Responsibilities:
1. Provide valued advice to Equities front line staff, Operations, Middle & Back Office on local regulatory requirements in respect of new products and new systems.
2. Provide advice to Equities front line staff on internal Bank policy requirements.
Assist the Business in rolling out new products, systems and policies in HK & in Asia.
3. Notify the Business, Operations and all relevant parties when new regulatory requirements come up and work with relevant parties to set up necessary work procedures, reporting or policies according to the new requirements.
4. Facilitate communication with project teams, relevant parties and obtain necessary information of all new products and service requests effectively.
5. Prepare sign off summaries & conditions to the line manager on new products, transactions, systems approval.
6. Review & provide sign off & comments from local regulatory risk and compliance perspective on marketing materials, term sheets, relevant brochure, and advertisement
7. Coordinate with Asia Country Compliance Representatives to conduct Front Office Supervisory Policy checking regularly for the Business Management.
8. Ensure timely reporting to Business management and Asia Country Compliance Representatives on key regulatory risk and compliance issues with action plan for resolving the issue.
Experiences:
1. 4+ years of compliance/control experience in the Banking and Financial Services industry with at least 1 year experience in Equities.
2. Basic knowledge of banking rules and regulations, and familiar with the banking practices and regulatory environment of Hong Kong
3. Good communication and interpersonal skills, able to maintain working relationships with Businesses, Operations, Middle & Back Office
Please contact for more information an a full description of the role
Aston Carter Ltd is acting as an Employment Business in relation to this vacancy.