Director, Compliance- International Brokerage

  • 1.2-1.5M base
  • Hong Kong
  • Permanent, Full time
  • Aquis Search , EA Licence No: 16S8125
  • 09 Oct 17 2017-10-09

An APAC centralized securities brokerage firm is now looking for a leading compliance personnel focused on developing the policies and procedures for. Regulated by SFC.

Key responsibilities:

  • Assist with regulatory bodies and handling requests/inspections 
  • Perform trade surveillnace for the equities business 
  • Assist with conflict clearance 
  • Work on regional compliance projects 
  • Manage wall crossing and review new activities/producys