Senior Compliance Manager, Equities Compliance, Compliance

Position Description

This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and Equities Derivatives Department.

Key Areas of Responsibilities

• Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area

• New business initiatives – Review and provide input to new business and infrastructure initiatives from a local regulatory and best practice perspective.

• Compliance policies and procedures – Review compliance procedures to ensure they are properly updated as and when necessary.  Prepare new compliance procedure in light of regulatory or business change.

• Reviews and monitoring – Provide guidance to team member on conducting compliance monitoring to access business’s ongoing compliance with key compliance

• Regulatory enquiry – Handling regulatory enquiry and manage relationship with regulators.

• Training – Provide training to business units

Requirements

• Master degree or equivalent degree is preferred, ideally in business, accounting or law

• Minimum 10 years of relevant work experience in the financial services industry in Compliance or internal audit and/or with a securities exchange or regulator

• In depth knowledge of Hong Kong regulatory and compliance requirements

• Sound working knowledge of cash equities and equities derivatives business

• Strong analytical skills, detail-oriented

• Able to communicate efficiently and effectively, fluent English, Cantonese and Mandarin (advantageous)

• Demonstrate team working ability, is dependable and self-motivated with ownership mentality.

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