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Urgent! Senior Compliance Manager, Equities Compliance, Compliance Job Opening In Hong Kong, Hong Kong – Now Hiring CITIC CLSA

Senior Compliance Manager, Equities Compliance, Compliance



Job description

Responsibilities

  • Advisory – Provide advice on regulatory interpretation andpliance issues in the coverage area
  • New business initiatives – Review and provide input to new business and infrastructure initiatives from a local regulatory and best practice perspective.
  • Reviews and monitoring – Provide guidance to team member on conductingpliance monitoring to access business’s ongoingpliance with keypliance
  • Regulatory enquiry – Handling regulatory enquiry and manage relationship with regulators.
  • Training – Provide training to business units
  • Requirements

  • Master degree or equivalent degree is preferred, ideally in business, accounting or law
  • Minimum 10 years of relevant work experience in the financial services industry inpliance or internal audit and/or with a securities exchange or regulator
  • In depth knowledge of Hong Kong regulatory andpliance requirements
  • Sound working knowledge of cash equities and equities derivatives business
  • Strong analytical skills, detail-oriented
  • Able tomunicate efficiently and effectively, fluent English, Cantonese and Mandarin (advantageous)
  • Demonstrate team working ability, is dependable and self-motivated with ownership mentality.
  • Job ID JR001561


    Required Skill Profession

    Business Operations Specialists



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