Description
A global financial services firm headquartered in New York City serving a diversified group of corporations, governments, financial institutions, and individuals. The Company also operates in 36 countries around the world, with over 600 offices and a workforce of over 60,000.
Responsibilities
* Advisory. Provide advice either independently or with other team members on regulatory compliance issues.
* New business initiatives. Review new business initiatives from a local regulatory, best practice and Firm perspective.
* Compliance policies and procedures. Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and issue new policies and procedures in light of regulatory or business changes.
* Desk reviews and monitoring. Either provide advice to the Desk Review Team to identify risk areas or lead independent reviews and monitoring of business practice.
* Compliance projects. Lead specific projects.
* Regulatory interaction. Help manage the Firm’s contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive.
* Industry contacts. Work on communications with industry participants to ensure appropriateness and consistency.
Requirements
* In-depth knowledge of regulatory and compliance requirements, especially those related to equities activities.
* Must have at least 10 years of relevant experience with a financial institution covering equities activities, or with a financial regulator.
* Experience in working closely with country compliance coverage to deal with equities issues.
* Knowledge of regulatory requirements relating to local access products in Asia Pacific region is an advantage.
* Ability to speak Mandarin and read Chinese is a plus.
Legal and Compliance HK, Equities Compliance, Executive Director - Hong Kong
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