Compliance Complete | Recruitment | Job List

ASIAN CASH EQUITIES ADVISORY

1326890435

Compliance & Regulation | 100k - 125k Yearly | This Global Investment Bank is internationally renowned as an innovator in global finance and is long admired for its strong suite of global markets products and active proprietary activities, providing a comprehensive range of investment banking products to a demanding clientele.
The prime function of this role is to provide comprehensive advisory and control services to the activities undertaken by the Cash Equities business in Hong Kong.

Key Roles & Responsibilities

*Ensure adherence to Hong Kong Monetary Authority and Hong Kong Stock Exchange rules, guidelines and policies
*Provide timely and accurate advice to the Asian Cash Equities business on the application of current and future legislation for the conduct of the Cash Equities business
*Participate in reviewing new business initiatives and transactions requiring pre-approval
*Undertake surveillance reviews of business trading activity to ensure compliance with regulatory and legislative requirements
*Close liaison with counterparts in Singapore and other off-shore offices
*Director level with significant (eight years' plus) Compliance experience within a financial institution, regulator and/or comparable environment is preferable
*Strong working knowledge of the equities markets generally with a focus on cash equities products
*Strong working knowledge of securities laws, regulations, directives and expectations, with detailed understanding of the application and impact of the Hong Kong Monetary Authority's and Securities and Futures Commission's rules / regulation

If you are interested in the roles above based in Hong Kong, please send your resume, quoting the relevant reference number to the following consultant: Gina Hui, Compliance Consultant, gina.hui@robertwalters.com.hk. T. +852 2103 571

If you would like to hear more about London based opportunities, please contact
Marina Law, Manager marina.law@robertwalters.com T. +44 (0) 20 7509 8114

SENIOR TRADE SURVEILLANCE ANALYST

1326890430

Compliance & Regulation | 58k - 83k Yearly | A stable banking group is looking for a compliance expert to join their team in Hong Kong
Reporting to the Head of Consumer Bank Trade Surveillance, you will be responsible for assisting him in overseeing the Trade Surveillance program for the entire Consumer Bank
Key tasks include setting policies, implementing and conducting trade surveillance reviews, and supervising investigations across the various countries and business segments.

Key Roles & Responsibilities
*Assist in the implementation of the trade surveillance program across the various countries and business segments.
*Assist in managing the Consumer Bank trade surveillance global teams.
*Assist in conducting trade surveillance reviews across the various Private Bank countries.
*Assist in escalating exceptions and reviewing management reports.
*Assist in the review of trade surveillance scenarios and recommend process improvements and best practices.
*Assist in conducting trade surveillance training during the rollout of the trade surveillance program across the Consumer Bank countries and business segments.
*Able to manage a global team.
*Knowledge and experience with review and investigation of Sales and Suitability Abuses.
*Able to perform data mining and trend analysis.
*Able to work with different business stakeholders to investigate trade surveillance alerts and recommend improvements.
*Able to work independently with minimal supervision.
*Excellent communication skills.

If you are interested in the roles above based in Hong Kong, please send your resume, quoting the relevant reference number to the following consultant: Gina Hui, Compliance Consultant, gina.hui@robertwalters.com.hk. T. +852 2103 571

If you would like to hear more about London based opportunities, please contact
Marina Law, Manager marina.law@robertwalters.com T. +44 (0) 20 7509 8114

WHOLESALE BANKING COMPLIANCE MANAGER

1326890368

Compliance & Regulation | 83k - 84k Yearly | We are now looking for an experienced professional to join the Wholesale Banking Compliance function in Hong Kong and provide broad-ranging Compliance support predominantly for the "banking business" activities in Hong Kong (currently, Corporate Deposit Taking, Corporate Lending, Correspondent Banking, and Trade Services). The successful candidate will be intimately involved in developing and maintaining an effective Compliance framework designed to identify, manage and mitigate regulatory and operational risk. This position offers the opportunities and challenges presented by enhancing a Compliance environment that supports the build-out in Asia of the firm's businesses that are presently carried on in the United States and Europe, during a period of corporate merger and integration.

Key Roles & Responsibilities
*Developing and enhancing an effective Compliance infrastructure in Hong Kong to accommodate regulatory requirements and mitigate Compliance and operational risk
*Implementing and administering Compliance control systems and procedures and monitoring programmes for all "banking business" activity, discussing findings or issues and remedial action with business lines
*Undertaking ad hoc issue escalation and periodic reporting to senior management
*Providing comprehensive Compliance advisory support in current and new business initiatives and in the integration or rationalisation of businesses in Hong Kong
*Interacting with regulatory authorities with respect to licensing, ongoing conduct requirements and new business initiatives; leading in the management of internal audits and external regulatory exams
*Developing and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements
*Relevant university degree and minimum of ten years of relevant experience gained in an international financial centre. Legal and regulatory background viewed advantageously
*Good knowledge of banking laws and regulations in Hong Kong. Some familiarity with banking and bank holding company laws and regulations in US desirable
*Sound understanding of the operation of international financial markets and the purpose and importance of effective regulatory oversight, risk management and corporate governance
*Good understanding of full service global financial institution and knowledge of financial products, desirable
*Ability to identify Compliance risk and advise on, develop and implement suitable policies and procedures to effectively monitor and mitigate that risk
*Ability to identify and advise business line management of changes in the regulatory and compliance environment and design and implement appropriate Compliance solutions
*Ability to influence stakeholders outside immediate area of control
*Excellent oral, presentation and written communication skills; confidence to communicate

If you are interested in the roles above based in Hong Kong, please send your resume, quoting the relevant reference number to the following consultant: Gina Hui, Compliance Consultant, gina.hui@robertwalters.com.hk. T. +852 2103 571

If you would like to hear more about London based opportunities, please contact
Marina Law, Manager marina.law@robertwalters.com T. +44 (0) 20 7509 8114

HEAD OF HONG KONG COMPLIANCE

1326890342

Compliance & Regulation | 125k - 126k Yearly | Our client is known globally as a Financial Institution that is backed by sound investment strategies, a strong balance sheet and the ability to succeed in challenging economic conditions.

Key Roles & Responsibilities

Reporting to the APAC Head of Compliance, you will manage the Hong Kong Compliance function including a team of well trained professionals. You will:

*Work closely with regulators SFC and HKMA, relationship managers and investment professionals
*Provide supervisory oversight over the execution and documentation of reviews conducted by them
*Drafting, implementing and managing compliance related policies & practices, involvement in strategic initiatives, new products, etc
*Designing, documenting and implementing effective and efficient procedures and protocols for the Hong Kong Compliance team including ensuring that the compliance monitoring programme as well as approvals are executed on a timely basis and basis for decisions documented appropriately
*Participating in global and/or regional projects within Compliance, work with other regional Compliance colleagues to ensure consistency in approach, policies and procedures
*12+ years of Compliance/Audit/Risk experience in a Financial Institution and a strong working relationship with the SFC Regulations
*Excellent understanding and applicability of rules and regulations related to investment management/private banking products and operations; background in structure products is highly desirable
*Strong analytical skills and ability to solve problems
*Sound interpersonal, oral and written communication skills
*The ability to demonstrate commercial sense and initiative, solution orientation, accountability
*Fluency in Cantonese and English is essential

If you are interested in the roles above based in Hong Kong, please send your resume, quoting the relevant reference number to the following consultant: Gina Hui, Compliance Consultant, gina.hui@robertwalters.com.hk. T. +852 2103 571

If you would like to hear more about London based opportunities, please contact
Marina Law, Manager marina.law@robertwalters.com T. +44 (0) 20 7509 8114

COMPLIANCE MONITORING MANAGER

1326890109

Compliance & Regulation | 60k - 80k Yearly | This Global Bank is universally renowned for its strong branding and its impressive range of treasury and investment banking products tailored to a notable list of global clients. The jobholder will be required to advise on and monitor all relevant external regulations and internal codes and policies and good market practices. This will be a very demanding and challenging role with the increasing regulatory standards and the highest level of Compliance support required from the business and management of the bank. A key focus is the ability to analysis and identifies compliance risks, to clearly articulate business and regulatory implications of analysis and findings and makes timely reporting and escalation

Key Roles & Responsibilities
*Carry out independent compliance reviews in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and Group Standards
*Primarily responsible for assisting Global Banking Compliance in providing Compliance advice and support in respect of the Global Banking activities in Hong Kong
*Test the adequacy of controls in place within the business and to identify potential and actual breaches
*Liaise with all other support functions such as internal audit, legal, risk, finance and operations on various aspects of Compliance responsibilities
*Understand the nature of the Global Banking business in Hong Kong
*Maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators
*Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy
*A minimum of three years' compliance experience, preferably in investment banking / financing Compliance function of an international bank / financial institution

If you are interested in the roles above based in Hong Kong, please send your resume, quoting the relevant reference number to the following consultant: Gina Hui, Compliance Consultant, gina.hui@robertwalters.com.hk. T. +852 2103 571

If you would like to hear more about London based opportunities, please contact
Marina Law, Manager marina.law@robertwalters.com T. +44 (0) 20 7509 8114