AVP, Sales & Trading Compliance

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • BOC International
  • 12 Nov 18

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our Compliance Function.

Responsibilities:

  • Develop and implement compliance policy and review program covering equities, structured products and global commodities and future businesses;
  • Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize to minimize compliance risk;
  • Advise business and functional units on relevant compliance related matters such as reviewing new products/services and marketing materials;
  • Participate in new product development and undertake projects when necessary;
  • Perform trade surveillance and regular review to identify compliance problems and cases of possible non-compliance with internal and external rules and regulations;
  • Such other duties directed by supervisors

Requirements:

  • Degree holder;
  • Minimum 6 years of compliance / relevant experience in multi-national corporation or regulatory bodies;
  • Sound knowledge of the Securities and Futures Ordinance and its subsidiaries regulations as well as rules and regulations of the Hong Kong Stock Exchange and Hong Kong Futures Exchange;
  • Good advisory and communication skills; 
  • Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred.

Please apply in strict confidence with full resume, academic record, current and expected salaries.
(The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidatee will be destroyed within six months.)