This offer job is expired.

Director/Executive Director

ALS International - Expires on Oct 18, 2014
  • Country
  • Location
  • Job Type
  • Experience
  • Eligibility
  • Hong Kong
  • Not specified
  • Permanent - Full Time
  • 10+ years
  • Expat and local
Job Category
Banking / Financial Services
Not specified

Job Description

Our client is a reputable corporate & investment bank with an in-depth sector-based knowledge.  They provide customized solutions to meet the specific needs of companies, financial institutions and institutional investors.
  • European Corporate & Investment Bank
  • Regional Scope
  • New position due to expansion in the region  
Reporting to the Regional Head of Compliance, based in HK, you will be fully responsible for:
  • Establishing and ensuring adherence to process, policies and procedures to meet compliance and regulatory requirements, in particular for the capital markets activities.
  • Supporting and advising the front office and other teams on regulatory and transactional issues and queries
  • Enhancing and supporting the control room functions and procedures
  • Identifying and responding to ongoing regulatory changes and to implement new policies and procedures where necessary
  • Managing work relationships with the regulatory bodies by having an effective communication between business leaders and other functional areas
  • Reviewing sales and trading activities and staff conduct
  • Supporting staff training and development needs with a focus on capital markets business, particularly the brokerage and trading activities
  • Compliance monitoring and review including transaction monitoring, reconciliation and prevention of market abuse

Job Requirements

  • You will be a University Graduate holding a degree in law and/or economics with at least 10 years’ experience gained within a financial services compliance function. 
  • You will possess sound knowledge of exchange rules and local regulatory requirements in securities trading, operations, products and services in HK and other Asian jurisdictions. 
  • Hands on experience with brokerage business and trading floor activities will be an advantage.  Fluency in English is essential.

About the recruitment agency

ALS International

With headquarters in Hong Kong and offices in Singapore, Beijing and Shanghai, ALS International is a leading independent executive search firm that has been operating in the region for over ten ...

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