Tangspac Consulting is an award-winning professional staffing firm with a 20-year footprint in Asia and headquarters in Singapore dating back to 1993. It offers bespoke contingency search and professional services across various Finance & Technology sectors.Our team of consultants has unparalleled...

Tangspac Consulting is an award-winning professional staffing firm with a 20-year footprint in Asia and headquarters in Singapore dating back to 1993. It offers bespoke contingency search and professional services across various Finance & Technology sectors.Our team of consultants has unparalleled expertise and track-record in serving both buy-side and sell-side firms, including the largest names on Wall Street. We have successfully placed thousands of banking professionals across various business & technology verticals.Clients range from Corporate & Investment Banks, Asset Managers, Custodians, Trusts, Private Banks, to other Publicly Traded Companies. Tangspac's management team benefits from a combined experience of 50 years from their former careers directly within investment banking, corporate banking, and banking technology. Our extensive network coupled with over 20 years’ experience in Asia enables Tangspac to deliver the highest level of service for our clients.

Compliance Officer (AVP)

Job level Middle
Work exp 5 Years To 8 Years
Education Bachelor Degree
Skill Compliance, Trade Surveillance
Location
Within Hong Kong
Employment type Permanent
Industry Banking
Job function Banking / Finance > Investment & Securities
Published On 22/10/2018

Our finance client is looking for a Compliance Officer (AVP grade) to join the team to provide support as below,

Job description

Responsibilities

  • Ensure that trade surveillance activities are undertaken according to agreed procedures and frameworks. Making sure escalation processes are followed and all issues are escalated and closed out in a timely manner.
  • Participate in projects to develop and maintain trade and Ecom surveillance technology
  • Review of parameter settings in light of current business strategies
  • Review and completion of management information reports to senior management
  • Engaging within Compliance and with other internal stakeholders to facilitate a coordinated approach to trade surveillance matters across the region.
  • Work closely with product and country compliance teams to review and conduct investigations when necessary
  • Provide training and monitoring of offshore team

Key Experience & Skills

Requirements

  • Good product knowledge across asset classes
  • Preference will be given to candidate with surveillance experience
  • Excellent verbal and written communication skills
  • Strong analytical, problem solving skills, and able to manage multiple projects.
  • Strong time management and multi-tasking skills a must

If you're interested in applying this opening, please kindly send your latest resume with current and expected salary by clicking . For further details, please feel free to reach Ms. Conny Li at 2575 5587