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trade surveillance, avp to vp - investment bank in Hong Kong

posted
contact
nicole hui, randstad hong kong
job type
permanent
salary
HK$ 50,000 - HK$ 80,000 per month

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 50,000 - HK$ 80,000 per month
reference number
91M0141319_1580780773
contact
nicole hui, randstad hong kong
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job description

about the company.

Our client is a foreign investment banking arm with strong presence in the region.
about the job.
  • Implement surveillance program which includes: watch list surveillance, restricted list surveillance, trade ideas surveillance to help restrict, monitor or control transactions
  • Maintain and review compliance manuals, policies, procedures and systems to ensure that all CF and brokerage activities are in compliance with the applicable laws, regulatory requirements and the Company policies
  • Conduct regular compliance monitoring and reviews on market surveillance
  • Participate and interact in meetings in local and overseas regulators, market participants and internal teams
  • Handling regulators' inquiries and investigation
  • Provide advice to frontline and other relevant units on compliance related matter
skills & experiences required.
  • University graduates with a minimum of 5 years' working experience relating to compliance or trade surveillance
  • Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
  • Strong command of spoken and written business English (Mandarin is a plus)

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: nicole.hui@randstad.com.hk

skills

Trade Surveillance, AVP to VP - Investment Bank

qualification

Trade Surveillance, AVP to VP - Investment Bank

responsibilities

Trade Surveillance, AVP to VP - Investment Bank

educational requirements

Bachelor Degree