Business Compliance (FICC & Equities) VP Role
Robert Half
- Company Industries:Accounting/Audit/Tax Services
Job Information
- Post Date:2022-08-22
- Career Level:Senior
- Location:Central & Western Area
- Qualification:Degree
- Employment Type:Full Time, Permanent
- Job Function:Banking / Finance Equities / Capital Markets
Job Description
Key Responsibilities:
- Provide practical advices to support the ongoing operations and future development of the businesses regarding applicable rules, regulations and regulatory expectations
- Establish and maintain Compliance policies and procedures to ensure business operations and practice are consistent with regulatory requirements
- Motivate and drive the business to establish appropriate internal procedures for ensuring business practices are in compliance with internal and external requirements
- Closely follow the development of relevant laws and regulations and provide analysis and highlights to senior Compliance management
- Ensure business staff and management to be updated with the latest regulatory and internal policy requirements by conducting workshops and ad hoc/routine training
- Review new business/product initiatives and provide compliance advices about suitability, licensing requirement, disclosure of interest (DOI) and appropriate booking model etc before the rollout of the new services
- Provide relevant and practical guidance about the design and publication of promotional and marketing materials
- Assist internal control functions to conduct independent review on the covered business by coordinating accesses to staff and information
- Closely monitor the business operations and report major developments and issues to fulfill internal and external compliance reporting obligations
- Liaise with regulators and exchange houses to answer regulatory inquiries and coordinate regulatory inspections
- Ad hoc tasks on request
Company Info
Founded in 1948, Robert Half pioneered specialised recruitment services and today is the world's leader in placing accounting, finance, banking and technology professionals on a temporary and permanent basis.
For more than 15 years, Robert Half has been named to FORTUNE® magazine's list of "Most Admired Companies." (March 1, 2016)
Visit our website for more job opportunities: www.roberthalf.com.hk/job-search
For more than 15 years, Robert Half has been named to FORTUNE® magazine's list of "Most Admired Companies." (March 1, 2016)
Visit our website for more job opportunities: www.roberthalf.com.hk/job-search
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