AVP Equities Compliance opportunity AVP Equities Compliance opportunity …

Aquis Search
in Hong Kong
Permanent, Full time
Last application, 20 Sep 21
competitive
Aquis Search
in Hong Kong
Permanent, Full time
Last application, 20 Sep 21
competitive
Posted by:
Gordon Kwong • Recruiter
Posted by:
Gordon Kwong
Recruiter
AVP or Senior AVP Equities compliance opportunity with an investment bank, the role would be responsible for providing regulatory advice to the sales & trading desks. The hiring manager has flexibility and will be willing to hire compliance support candidates too. If interested please send cv to: gordonkwong@aquissearch.com

Responsibilities

  • Provide regulatory advice to sales and trading covering both the client business and proprietary trading
  • Review new business initiatives from a regulatory, best practice and Firm standard perspective
  • Maintain and update all relevant compliance manuals, policies, and procedures
  • Work with the AML/KYC Compliance team on client onboarding and ongoing monitoring related issues
  • Perform regular compliance risk and controls assessments
  • Provide compliance training
  • Help manage contacts and relationships with regulators

Requirements

  • University Degree
  • 5 years plus compliance experience in the financial services OR compliance support experience with exposure to equities
  • Team player
  • Exposure to the sales & trading desks
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