You are here
Compliance Manager - Trading
- Top performing Asian Bank
- Stable and dynamic platform
About Our Client
Our client is one of China's largest banking groups which has been a top performer in the market for some time. It currently is pursuing large expansion plans within the APAC region.
Reporting to the Head of Compliance for Hong Kong, this role will be a pivotal part of the compliance team with a strong relationship needed with senior management. the key responsibilities for this role would include:
- Provide regulatory advice to the sales and trading business units, covering both the client business and proprietary trading.
- Review new business initiatives from a regulatory / best practice perspective.
- Maintain / update all relevant compliance manuals, policies and procedures .
- Lead the assessment for proper performance of surveillance of the sales and trading business activities
- Perform independent desk reviews of trading activities.
- Handle ad hoc regulatory enquiries.
- Provide compliance training to various staff and stakeholders.
- Help build and maintain relationships with regulators, ensuring open and constructive communications are in place
The Successful Applicant
- 5-8 years regulatory compliance experience in a financial institution or regulatory authority
- Previous experience in providing in-house compliance for sales and trading business is a great advantage
- Fluent in speaking Cantonese, English and Mandarin with excellent written skills
- Detailed-oriented with strong analytical skills
What's on Offer
Excellent package with clear and defined career progression