Location: Beijing and Shenzhen
This global leading investment bank is looking to expand its compliance team in China.
Key Responsibilities:
conduct training and provide advice on policy and procedures
provide primary coverage (including research sales, PWM as well as sales and trading) in day-to-day business operations
review and analyse daily surveillance reports, conduct investigations when necessary and escalate significant or unresolved issues to the senior compliance management and business units
conduct regular compliance training for business unit professionals and supervisors
maintain sound regulatory relationships whilst handling regulatory inquiries and inspections
Key Requirements:
five years compliance/legal/operations/other control function experience inclusive of securities sales and trading is preferred
working knowledge in China securities regulations, exchange rules on listed securities, futures and derivatives
effective communication skills
fluent in Mandarin
strong analytical skills and the ability to exercise judgment and manage execution under pressure
inquisitive and proactive in identifying risks and proposing solutions
professional license in China securities is preferred
experience in dealing with the CSRC is preferred
If you would like to apply for this role or find out more, please apply online or contact Johannes TAN at Robert Walters on +86 21 5153 5807 or sha.banking@robertwalters.com.cn quoting the Job Reference SH00/JTZ/112283.