Equities Derivatives Compliance Specialist/Advisory (915600/001) Hong Kong
| Salary: | Attractive |
Key Responsibilities:
- Advise on regulatory inquiries, audits, inspects, questionnaires and surveys
- perform analysis on potential impacts on business processes and controls and provide advises on first line of defense on gaps identified
- Assist with remediation projects to mitigate issues on audits, operational and compliance incidents and breaches
- Responsible for compliance policies oversight
- Work with first line of defense
- Communicate matters in relation to global markets and asset liability management treasury business
- Provide training to key stakeholders to global markets and asset liability management treasury business
Key Skills:
- Relevant experience in related areas such as equities, electronic trading, algos, short selling, etc on rules and regulations across Asia Pacific
- Bachelor degree with 3 years plus of experience in compliance departments of leading banks, international brokers, securities regulators at an advisory capacity
- Strong communication skills
- Knowledge of risk and control framework and procedure for financial institutions
- Strong analytical and problem solving skills
Company Overview:
This is a leading investment bank with a strong global presence.