Please be advised that only applicants who are shortlisted will be contacted.
Must Have Requirement:
Minimum of 5-7 years of experience in:
Regulatory Compliance
Client Onboarding
Trade Control/Trade Desk Support or operations preferably in the Capital Markets line of business
• Regulatory Environment - Financial Services -: Familiarity with applicable foreign and domestic jurisdictional and company-specific regulations, policies and guidelines affecting business practices
Dodd Frank (CFTC & SEC)
CSA
EMIR
MiFID
HKMA
MAS
ASIC
CAT NMS
CIRO (IIROC)
Familiarity with Capital Markets
Clientele
