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Compliance - Senior Associate / Assistant Manager

Job Title: Compliance - Senior Associate / Assistant Manager
Contract Type: Permanent
Location: Hong Kong
Industry: Financial Services
Reference: BBBH11122_1578305133
Contact Name: Cardie Siu
Contact Email: cardie.siu@kos-intl.com

Job Description

KOS International Limited is a specialist recruitment firm focus on serving leading multinational companies and striving local businesses in the Asia Pacific region.

Responsibilities:

  • Maintain the control room functions ( Investment bank sector )
  • Work closely with front office, research department, trading floor and senior management handling the daily compliance issue, regulatory requirement implementation, etc.
  • Handle compliance matters on corp. finance and global market, including compliance review, conflict/independence checks, NDA and mandates vetting, placing transaction review and communication with back-office
  • Provide training to internal staffs and support the legal work

Requirements:

  • University graduate in Law, Accounting, Business or related disciplines
  • 3 years relevant banking compliance
  • Familiar with control room functions in IBD with good knowledge in SFO and/or Listing Rules, operations, products and services, and a sound understanding of current trends in investment banking operations and industry
  • Excellent communication skills in both spoken and written English and Chinese with fluency in Mandarin

Click "Apply Now" to apply for this position or call Cardie Siu at +852 3180 4955 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.