Associate- Compliance

Location Hong Kong
Job-type Full Time
Salary Negotiable
Contact Selene Ma
Email email Selene
Reference AWRB-403763_1602835761

Our client, a leading Chinese Investment Bank, is looking for an Associate for their compliance team to handle general compliance tasks with more focus in control room duties.

Our client, a leading Chinese Investment Bank, is looking for an Associate for their compliance team to handle general compliance tasks with more focus in control room duties

Responsibilities:

  • Perform control room operations, review watch/ restricted lists, wall crossings; handle staff dealing matters
  • Conduct compliance reviews and investigation for the business of equity, futures, OTC and derivatives products
  • Assist in the daily operation of the Regulatory Legal and Compliance Team
  • Assist in handling licensing applications, notifications and training
  • Assist in handling enquiries and requests from regulators and other third parties
  • Document management and record keeping

Requirements

  • University graduated in Finance, Business Administration or relevant disciplines.
  • Minimum 3 years' relevant experience gained from banking environment
  • Knowledge in the transaction flow
  • Independent, self- motivated and detail- oriented
  • Good communication and interpersonal skills
  • Good command of both Chinese and English (including spoken Mandarin)