Legal Business network: Asia, Australia, China, Middle East
Product Compliance Officer

Our client is a leading financial institution with an international network of offices in all major financial centres globally.

 

About the Job

  • Market abuse surveillance in the Agency and Client Facilitation Equities brokerage areas 
  • Focus areas include Direct Market Access / Electronic Trading and block trading at market open / market close and volume weighted average prices
  •  Investigate regulatory inquiries on trading incidents and draft responses 
  • Monitor derivatives compliance issues and act as a back-up in that area. 
  • develop and improve the surveillance program. 

 

Who we are looking for

  • 3-5 years relevant experience in financial services
  • A strong working knowledge of cash securities trading and settlement
  • Experience with exchange-traded and over-the-counter derivatives a plus
  • Good communication and presentation skills
  • Strong team player

 

In the first instance please send your CV to k.sham@cmlor.com or call Kenneth Sham, our senior associate, on +852 2836 6382 for a confidential discussion.

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KS201201105
In-house
Permanent
+852 2836 6382
Confidential enquiry to ask for further details
Send me a copy of this application
CML Recruitment
In-house
Banking & finance, Compliance, Securities
3 year(s)
Permanent
Not specified
Hong Kong , Hong Kong
Hong Kong
KS201201105
About CML Recruitment
Location: CML's Asia operation is located in Hong Kong, Asia's world city. Opened in February 2009, we specialize in accounting and legal recruitment throughout the APAC region. We also have offices in the Cayman Islands and Bermuda.

Clients: CML recruits for all the major law and financial services firms in Asia. Several major firms have selected CML as their preferred supplier for recruitment services. By formal agreement, these firms keep CML notified of all current job vacancies and will consider our candidates first. This arrangement gives CML registered candidates a major advantage over their competition.

Service: At CML we pride ourselves on offering the most professional recruitment service around. We are constantly striving to make the recruitment and relocation process easier for both candidates and clients. Our personalized service includes briefing you before each interview, negotiating on your behalf, assisting with the preparation of your work permit application, and where necessary, assisting you with the logistics of relocation.

Expertise: Each CML consultant has extensive training in recruitment and negotiation, knowledge of the current market, and a thorough understanding of the profession that is his or her area of focus. By taking the time to understand your personal and professional goals, your consultant will know which companies and locations will be best suited to you. Your CML consultant will save you time by researching job opportunities and arranging interviews on your behalf.

Resources: CML has a team of people interacting with our clients and researching job openings on a daily basis. Your CML consultant has access to a databank of job openings for each jurisdiction. As a result, he or she will be able to present you with the best opportunities available, based on your work experience and qualifications. Your CML consultant is also up-to-date on the current salary ranges and benefit packages being offered. When you have gone through the interview process and are ready to commit to a position, you can do so with confidence, knowing that it is an informed decision.