eFinancialCareers

• Company

  Resourcing Options Limited

• Location

  China-Hong Kong

• Remuneration

  Excellent package

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  02 Jul 2009

• eFC Ref no

  507257

Role

• Stand alone role reporting to the COO
• Provide day-to-day compliance advisory services the business
• Develop appropriate compliance control and monitoring procedures.
• Identify and resolve any compliance risks attached to various business desks/teams.
• Investigate and handle any actual or potential breaches of relevant rules and regulations, incident management etc.
• Coordinate and deal with regulatory enquires;
• Assist in drafting and updating of compliance-related policy and procedures;
• Participate in New Products Approval Process
• Deal with ad hoc issues and provide compliance support to both front and back office staff;

Requirements

• Minimum of 5 years compliance experience within a financial institution
• Have good understanding of settlements, equities and derivatives
• Good communication and language skills
• Knowledge of regulatory requirements in Hong Kong and other Asia regions.