Client Background: Our client is a securities arm of top-tier international investment bank. They are currently looking for a compliance professional with equities / global markets exposure to join them as their APAC Compliance team.
About the position:
A compliance associate to support the APAC compliance team (based in Hong Kong) with a focus on monitoring of staff compliance with internal policies, relevant rules and regulations and supporting the business with their daily compliance need. The role reports in to the Head of Compliance, Hong Kong and part of the Regional Legal and Compliance function managed by the General Counsel, Asia.
Client monitoring and KYC review
Perform error trade reporting and other routine reporting to SFC and HKEx
Perform short sell reporting and other routine reporting to ASX and ASIC
Compiling incident reports for APAC compliance incidents
Support trade surveillance and reporting in Australia and Hong Kong markets
Perform monitoring, testing and reviewing compliance controls in relation to staff compliance with firm’s policies and procedures
Perform monitoring, testing and reviewing compliance controls in relation to electronic trading
Preparing compliance reports, management reports and other ad hoc compliance duties
Liaising with global compliance teams to respond to regulator enquiries in offshore jurisdictions
Liaising with Nomura’s Hong Kong compliance team as required
Reviewing marketing material to ensure compliance with internal policies
Bachelor's Degree in business, legal or related discipline
3 - 5 year’s experience in financial services compliance preferred
Excellent interpersonal skills and ability to work independently
A professional manner and willingness to learn and develop
Logical working style and attention to detail
Excellent command of English
Western and friendly company culture.
Competitive yearend bonus.
Great annual leave package
Great Career progression.
Fully comprehensive medical insurance and personal insurance