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Equities Compliance Manager

  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Legal & Compliance
  • Contact: Calvin Chan
  • Start Date: ASAP
  • Expiry Date: 19 April 2023
  • Job Ref: JN -022023-477026

My client, a multinational investment bank is looking for an Equities Compliance Manager to join the team.

Responsibilities

  • Provide advice on regulatory requirements and compliance issues
  • Help manage contacts and relationships with regulators and handle related regulatory enquiries
  • Maintain and update all relevant compliance manuals, policies and procedures
  • Conduct sample reviews of SMARTs monitoring review to improve the trade monitoring process
  • Perform regular compliance risk and controls assessments
  • Provide compliance training to new hire employees and business

Requirements

  • Degree holder with at least 5 years experience of relevant experience in financial services industries/ regulators/ securities exchange/ internal audit firms
  • Sound knowledge is SMARTS surveillance system
  • Good knowledge of cash equities, equities derivatives and market-making activities
  • Fluent in Englisha and Cantonese, Mandarin is a plus

Please feel free to contact Calvin Chan at cchan@argyllscott.com.hk for more information or apply for the job.

Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.