Leading Investment Bank - Prime/EQD Compliance (Contract) Leading Investment Bank - Prime/EQD Compliance  …

Gravitas Recruitment Group
in Hong Kong, Hong Kong, Hong Kong
Contract, Full time
Be the first to apply
Up to GBP0.00 per annum
Gravitas Recruitment Group
in Hong Kong, Hong Kong, Hong Kong
Contract, Full time
Be the first to apply
Up to GBP0.00 per annum
Our client is a global top tier Multinational Investment bank with established presence in Hong Kong and a rapidly expanding network over the world. Due to consistent ongoing growth, my client is looking for an experienced, energetic high-calibre specialist to supervise the operation of Control Room Compliance Team. The successful candidate will be part of the Global Markets Compliance team to provide advisory support to the head of equities compliance on a day-to-day basis.

Our client is a global top tier Multinational Investment bank with established presence in Hong Kong and a rapidly expanding network over the world. Due to consistent ongoing growth, my client is looking for an experienced, energetic high-calibre specialist to supervise the operation of Control Room Compliance Team.

The successful candidate will be part of the Global Markets Compliance team to provide advisory support to the head of equities compliance on a day-to-day basis.

Responsibilities

  • Provide advisory on Global Markets matter including regulatory inquiries, audits, inspections, surveys etc.
  • Conduct gap analysis of current procedures to assess potential impacts and room to enhance efficiency
  • Offer advice regularly to 1st Line of Defence on gaps identified
  • Lead and coordinate remediation projects for risk mitigation
  • Oversee, update and review compliance policies and in charge of change management and delivery of compliance program
  • Work closely with many internal stakeholders including 1st Line of Defences, businesses, supporting functions
  • Escalate compliance issues to senior management and provide trainings relevant staff

Requirements

  • 8 years or more relevant experience gained in Compliance of FI, international brokers or securities regulators
  • Solid knowledge of Capital Markets, particularly prime products and equities in Asia Pacific
  • Good understanding of APAC rules and regulations of algos, swaps DMA, electronic trading, short selling etc.
  • Good interpersonal skills - clear communication with employees in all business units and supporting functions
  • Good knowledge of capital markets and risk and control framework of FI
  • Strong analytical and numerical skills
  • Hands-on person, able to multi-task and work independently


What's On Offer

  • Offer attractive remuneration package and comprehensive fringe benefits
  • Well-known brand name, sizeable company, dynamic culture
  • Excellent career path - great opportunity for you take lead in a growing platform

Contact: Ruby So

For an initial confidential discussion please contact Ruby So at +852 3907 0744. You can also email your most updated CV to r.so@gravitasgroup.com

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