Senior Compliance Analyst – Financial Services

Hong Kong

• Expanding Business
• Highly Visible Role

This is a newly set up role with a global financial services group.  They are looking for a seasoned compliance candidate to oversee their trading floor activities.

The Role

Reporting to the Head of Compliance, you will be fully responsible for:

• Performing and overseeing daily monitoring of all trade activity for specific equity and fixed income to ensure their investment policy limitation are followed
• Developing and implementing effective mechanism to provide timely reporting and monitoring of complex investment strategies
• Managing the inside information policy and procedures, including establishing and removing information barriers
• Preparing periodic reports required by the HKSFC and other regulatory bodies
• Maintaining policies and procedures and the Compliance Manual
• Identifying, researching and escalating potential compliance violations and recommend alternatives for resolution
• Supporting the establishment of an Equity Trading desk in Hong Kong

The Successful Applicant

You will be a University Graduate holding a degree in law and/or economics preferred with at least 4-5 years experience gained within a financial services, preferably in the area of compliance or mutual fund operations.  You MUST have Trading Floor Compliance experience and  possess sound knowledge of Hong Kong and regional compliance and regulatory laws and have strong communication, analytical and leadership skills. Hands on experience with asset management business will be an advantage.  Fluency in English and Mandarin, both written and spoken is essential.

Contact Us

Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.  For more Compliance positions, please visit our website and contact us for details.

(WS/7798)