AVP Compliance Monitoring and Testing
Responsibilities:
- Provide guidance on compliance and deliver high quality monitoring and testing reviews
- Provide recommendations and validate compliance against applicable regulations and policies and procedures
- Present and report results review to Business Management
- Work Closely with Product Compliance and Compliance advisory team on any business development and regulatory related matters
Requirements:
- Bachelor Degree in Economics, Finance , Risk Management or any related disciplines
- Minimum 3-5 years of experience in Compliance Testing / Product Compliance / Equities Compliance / Fixed Income Compliance
- Strong understanding in investment banking business , regulatory framework and product knowledge
- Excellent command in spoken and written English.
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