Provide prompt, sound and consistent compliance advice, interpretation and recommendation on Institutional Sales & Trading business.
Co-ordinate and handle enquires from business departments regarding to regulatory compliance requirements and provide advice and recommendations
Influences and negotiates with seniors across functions and management; may communicate with external consultants and lawyers
Establish proper controls, policies and business operation procedures to ensure compliance with legal and regulatory requirements
Develop an ethical and efficient business reporting frameworks
Handle other compliance matters or assist projects as assigned by management from time to time.
Bachelor's Degree in Law, Accountancy, Business or equivalent
At least 5 years of relevant experiences in Compliance function of Financial Institution with exposure in Institutional Sales & Trading matters
Strong understanding of financial market knowledge, rules and regulations of capital markets for HK and US markets
Well-versed in relevant compliance rules and regulations issued by the SFC
Analytical, self-motivated, ability to work under pressure;
Excellent presentation and problem-solving skill;
Good command of written and spoken English and Chinese (Cantonese & Mandarin)