Compliance Manager - Chinese Securities
Responsibilities:
- Reporting to Head of Compliance
- Provide compliance advisory on FICC products within a Chinese security house or retail brokerage.
- Ensure adherence to regulatory requirements and guidelines.
- Develop and update compliance policies and procedures.
- Conduct compliance monitoring and surveillance activities.
- Deliver training programs on FICC product compliance.
Qualifications:
- Bachelor's degree in Law, Finance, or related field.
- 5-9 years of compliance experience in Chinese financial industry.
- Strong knowledge of Chinese regulatory requirements for FICC products.
- Excellent analytical and communication skills.
- Fluency in Mandarin and English.
