Job Description
Compliance Associate, Fixed Income / MM (Prestige Foreign IB)
Our client, a reputable Investment Bank, now is looking for a Compliance Associate as below.
Responsibilities:
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Provide consultation and advice to trading desks and Business Heads, in consultation with the Vice President as necessary
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To ensure and demonstrate compliance with the Operating Group Compliance Program
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Communicate and coordinate closely with Compliance and Supervision colleagues to monitor Regulatory developments in the context of current rules and industry trends
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Supervise trading activities to ensure compliance with all applicable regulations
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Monitor suspicious trading activities through Actimize
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Review marketing materials, business visits, gifts and entertainment record
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Provide administrative support for Vice President and any other supervisory tasks as assigned from time to time
Requirements:
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Solid knowledge of the CBIRC, SAFE, PBOC and related banking regulations essential; MAS, HKMA, OSFI and US regulations a plus
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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
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Able to read technical compliance material in Chinese and English and distil the applicability of the regulations to respective business unit(s)
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Strong analytical skills – analyze the evidence collected on remediated controls and determine if there is substantive conformance with requirements
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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.
