Compliance Officer - AVP to VP - 5 months Contractor - Hong Kong Job Details
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| Compliance Officer - AVP to VP - 5 months Contractor - Hong Kong (Ref: 100318-KD-25) |
| Sector, Sub Sector: |
Capital Markets
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| Compliance Type: |
Regulatory/Compliance
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| Expertise: |
-
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| Company: |
Credit Suisse
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| Location: |
Asia / Pacific, Hong Kong
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| Employment Type: |
Permanent
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| Job Description: |
ROLE SUMMARY:
Regulatory Coordination
• Serve as a primary contact with the Hong Kong regulators
• Monitor current and expected rulemaking by the SFC, HKEx and other regulatory bodies
• Participate in industry consultations and lobbying efforts in Hong Kong
• Handle regulatory investigations and supervise staff dealing with regulatory inquiries
• Respond to routine and ad-hoc requests from regulators
• Coordinate preparations for and responses to regulatory exams
• Work with legal, compliance and other support staff across the region and in the other regions to advise on and address cross-jurisdictional compliance matters involving Hong Kong
• Oversee licensing applications to SFC and ensure that employees hold appropriate licences
• Responsible for CPT programs, staff training and other regulator filings for HK
• Coordinate and handle regulatory applications and approvals Advisory
• Working with Equities Front Office on the day-to-day questions and issues that arise in the normal course of sales and trading business
• Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk
• Assist in the implementation of compliance procedures
• Conduct compliance monitoring to ensure compliance with regulations and internal policies
• Review and approval of Hong Kong marketing materials
• Advise on Hong Kong regulations and Firm policies and procedures
• Identify regulatory or reputational risks and escalate to senior management for resolution
• Advise on corporate governance matters relating to CS’s entities in Hong Kong Policies and Training
• Develop policies and procedures regarding Hong Kong regulatory requirements
• Conduct training sessions on Firm policies and procedures
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As one of the world's leading banks, Credit Suisse provides its clients with investment banking, private banking and asset management services worldwide. Founded in 1856, Credit Suisse has a long tradition of meeting the complex financial needs of a wide range of clients, offering advisory services, comprehensive solutions and innovative products to companies, institutional clients and high-net-worth private clients globally. Credit Suisse is active in over 50 countries and employs approximately 46,000 people. Further information can be found at www.credit-suisse.com.
Cultural diversity is essential to our success. As such, we employ people from more than 100 countries. Credit Suisse empowers employees to work openly and respectfully with each other and with clients, ultimately striving to deliver superior results while offering initiatives and programs to assist employees achieve a healthy work-life balance.
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Right place, perfect opportunity
www.credit-suisse.com/careers
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Credit Suisse is an Equal Opportunity Employer and does not discriminate in its employment decisions on the basis of any protected category.
To the extent permitted or required by applicable law, a candidate who is offered employment will be subject to a criminal record check and other background checks before the appointment is confirmed.
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| Job Ref No: |
100318-KD-25
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