COMPLIANCE MANAGER

  • competitive package
  • Hong Kong
  • Permanent, Full time
  • Recruitment Intelligence Consultants Limited
  • 19 Oct 17 2017-10-19

A global institutional brokerage firm is looking for an outstanding compliance professional to join as Compliance Manager. The position is based in Hong Kong.

  • Global Institutional Brokerage
  • Excellent Exposure

Our client is an international firm specializes in global institutional brokerage serving hedge funds, mutual funds, separate accounts and family offices.  They are currently seeking an outstanding compliance professional to be part of their growing business in Asia.

Based in Hong Kong and reporting to the Regional Compliance Manager, you will be responsible for the maintenance of a strong compliance culture in the Hong Kong office by developing and maintaining compliance and risk control program infrastructure that identify, measure and monitor compliance and risk with applicable laws, regulations and rules that govern the business.  Working closely with business, legal, audit and back office functions both in Asia and the other global regions, you will provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm’s compliance control environment.  You will liaise with senior management across the business units in APAC advise them of changes in rules, regulations and policies; review procedures to ensure controls and surveillance in place are effective to meet regulatory and risk control requirements that are relevant to the business and lead compliance and risk control related projects on a regional basis.   Lastly, you will liaise with the relevant local regulators to ensure regulatory inquiries and requests are met.

To qualify for the position, you should be a Degree holder with a minimum of 5 years of compliance experience gained in a global broker-dealer environment.  Equities product knowledge with emphasis on trading across global markets is strongly preferred together with knowledge of regulatory requirements in Hong Kong.  You should have the ability to work under pressure in a fast paced trading desk environment is a must.  Lastly, you should have excellent spoken and written English and fluency in Cantonese is preferred.

Interested applicants should send a detailed resume to Michelle Ho by email to mho@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2804.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)