Sales & Trading Compliance Dir/ED Sales & Trading Compliance Dir/ED …

JobsLab
in Hong Kong
Permanent, Full time
Last application, 21 Jun 21
Competitive
JobsLab
in Hong Kong
Permanent, Full time
Last application, 21 Jun 21
Competitive
Posted by:
Dennis McCaffery • Recruiter
Posted by:
Dennis McCaffery
Recruiter
Lead Compliance coverage of the Sales & Trading businesses for Asia Ex-Japan.

Responsibilities

  • Head up Compliance for Fixed income and equity sales and trading desks
  • Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules
  • Communicate with traders and supervisors to assess risk and remediate issues
  • Assist in the design and maintenance of written supervisory procedures
  • Assist in regulatory reviews, including inquiries, audits and exams
  • Design and deliver applicable training for business unit personnel
  • Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations
  • Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
  • Demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner

Requirements

  • Minimum of 10 years of related experience
  • Candidate should be proficient in time management and able to initiate and manage projects.
  • Bachelor's degree required
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