Associate, Compliance

Role Description for Associate, Compliance (Equities)

The successful candidate will be responsible for (but not limited to):

• Providing advice to the business as regarding to specific compliance issues.
• Interact with relevant regulatory bodies including SFC regarding compliance with existing regulations and stay up to date on upcoming changes.
• Ensuring that internal documents and manuals are updated according to changes in local regulations, best practice guidelines and group frameworks.
• Co-ordinating with Desk Review teams to ensure potential areas of risk are identified and mitigated in a timely fashion.
• Take the lead on ad-hoc projects within Compliance, often with interaction across other functions within the HK organisation.

Requirements for Associate, Compliance (Equities)

• 3+ years experience in a compliance function, preferably within Investment Banking and ideally inHong Kong.
• Clear knowledge and understanding of the regulatory landscape surrounding Equities - with knowledge of Derivatives beneficial.
• Experience of interacting with regulatory bodies is preferred. Individuals with direct work experience within these organisations will be considered.
• Strong communication skills in a very fast paced and pressured environment, ideally directly from a Front Office/Trading environment. Ability to read and write Chinese is beneficial.
• Proactive individual with ability to meet tight project deadlines.

This is a rare opportunity to join one of the leading investment banks into a team consisting of industry experts, with the opportunity to learn and broaden your professional knowledge. To be considered for this outstanding prospect, apply through the link provided. If you have any questions, please call Ross Campbell on 31073508.