Senior Manager - Legal and Compliance

  • Company

    Hays Banking Hong Kong

  • Location

    China-Hong Kong

  • Compensation

    Excellent Remuneration Package

  • Position Type

    Permanent

  • Employment type

    Full time

  • Updated

    06 Nov 2009

  • eFC Ref no

    583348
Daily front office monitoring for the business. Performing post-transaction surveillance. Managing a small team.
  • Global Securities Firm
  • Front Office Trade Compliance Role
  • Excellent Remuneration Package
This global securities firm is looking to secure a new Senior Manager – Legal and Compliance. Reporting into the Head of Legal and Compliance and managing a small team, key responsibilities will include: 
  • Assisting the Head of Legal and Compliance in the management of the department.
  • Performing daily front office monitoring of the business and conduct of regulated sales and trading activities, including brokerage, electronic and proprietary trading, asset management and wealth management.
  • Performing post-transaction surveillance for short selling, market misconduct and other trading irregularities.
  • Performing regular and ad-hoc monitoring and, where required, reporting or disclosure of interests in securities and large open positions, and money laundering.
  • Monitoring of emails, telephone and other electronic communications.
  • Handling, escalation and reporting of trading, information technology and operational errors and incidents.
  • Assisting in establishing, updating and enforcing internal front office, trading and sales policies and procedures.
  • Providing advice on regulatory, exchange and trading rules and regulations and updates.
  • Providing advice with respect to existing and potential new business activities, systems and products, and information security and business contingency plans.
  • Planning and undertaking regular compliance reviews on the business and regulated activities. 
Key requirements include:

  • Minimum of 5 years prior experience working in compliance, audit, investment or fraud risk management in the securities, futures, banking or financial services industry.
  • Previous work experience in trade surveillance or investment management compliance with a regulatory body, exchange, financial institution, investment bank or fund manager preferred.
  • Excellent command in spoken and written English and Chinese.
  • Knowledge of information technology, electronic trading, surveillance, or risk management systems will be an advantage.
If you meet the above requirements please send your CV to maeve.mcgivern@hays.com.hk or call Maeve McGivern on +852 2521 1474 for a confidential discussion.
     

  • Contact:

    Maeve McGivern

  • Company:

    Hays Banking Hong Kong

  • Website:

    www.hays.com.hk

  • Recruiter Ref:

    BK-MMC-9709

  • Note: Please quote eFC Ref: 583348 when applying for this job.

  • 4000000000570655
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