Exciting opportunity for compliance professionals with 5-7 years of experience in the industry who's keen to develop themselves as a compliance generalist in the industry.
We are working with a junior to middle level compliance role with a global leading financial institution who’s expanding their compliance function in Hong Kong.
- Responsible for compliance program, policies and procedures
- Identify, monitor, and communicate regulatory changes trends and proposals to senior management
- Review personal account dealing, conflict of interest, employee conduct, etc
- Liaise with regulators and preparing regulatory enquiries, surveys and inspections
- Implement compliance controls and tool to address gaps with global compliance framework
- Provide training for internal staffs
- 5+ years’ experience in compliance
- Familiar with global markets/ electronic trading business related compliance
- Hands-on experience handling general or regulatory compliance