Compliance Associate

Our client, a reputable Investment Bank, now is looking for a Compliance Associate as below.

 

Responsibilities:

• Provide consultation and advice to trading desks and Business Heads, in consultation with the Vice President as necessary

• To ensure and demonstrate compliance with the Operating Group Compliance Program

• Communicate and coordinate closely with Compliance and Supervision colleagues to monitor Regulatory developments in the context of current rules and industry trends

• Supervise trading activities to ensure compliance with all applicable regulations

• Monitor suspicious trading activities through Actimize

• Review marketing materials, business visits, gifts and entertainment record

• Provide administrative support for Vice President and any other supervisory tasks as assigned from time to time

 

Requirements:

• Solid knowledge of the CBIRC, SAFE, PBOC and related banking regulations essential; MAS, HKMA, OSFI and US regulations a plus

• Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions

• Able to read technical compliance material in Chinese and English and distil the applicability of the regulations to respective business unit(s)

• Strong analytical skills – analyze the evidence collected on remediated controls and determine if there is substantive conformance with requirements

• Advanced educational degree such as MBA, CPA, JD or CFA is a plus

 

Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: justin.wan@jac-recruitment.com and jac.hk@jac-recruitment.com

 

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.