Central Compliance - Vice President Central Compliance - Vice President …

JobsLab
in Hong Kong
Permanent, Full time
Last application, 18 Sep 21
Competitive
JobsLab
in Hong Kong
Permanent, Full time
Last application, 18 Sep 21
Competitive
Posted by:
Dennis McCaffery • Recruiter
Posted by:
Dennis McCaffery
Recruiter
This client member is looking for exceptional candidates with strong central compliance experience ideally from an international securities firm.

Responsibilities

  • Handle licensing and approval matters including registration, de-registration, examination and CPT tracking
  • Act as a primary point of contact with the regulators for liaison in regards to licensing matters
  • Monitor and regularly perform reviews on licensing status of staff
  • Advise staff, business lines and management on licensing-related matters
  • Co-ordinate and deliver Compliance trainings for employees
  • Review Personal Investment, Outside Business Activity and other new-joiner/annual certifications and requests
  • Investigate on potential breaches in respect to internal policies
  • Information barriers monitoring
  • Monitoring of trading activities

Requirements

  • Around 8 years of relevant compliance experience
  • Bachelors degree required
JobsLab logo
More Jobs Like This
See more jobs
Close
Loading...