VP Compliance (Equities/Fixed Income), up to $100K Base per Month plus bonus

The position will sit within the investment and trading division and will mainly provide compliance support to the equities and fixed income business teams.

The successful candidate will provide timely and effective compliance support to the above business areas to ensure compliance with internal policies and procedures and external regulatory requirements. Duties will include advising trading desks on equities compliance and trading issues; performing sales and trading surveillance; providing real-time compliance advice to business stakeholders with regards to the applicable rules and regulations that govern their businesses and assisting with the interpretation and implementation of new policies and guidelines.

The ideal candidate will hold a Bachelor’s Degree or above with at least 7 years of compliance experience gained with a financial services company or a Big 4 accounting firm and will have solid experience in equities/trading products with knowledge of the relevant laws, regulations and rules. The candidate must be fluent in English and Chinese.

If you are interested in finding out more about this career opportunity, please email your resume to Erica Wong, enquiries@charterhouse.com.hk Tel: (852) 3151 1300 Web: www.charterhouse.com.hk

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