Senior AVP, Securities Settlement Compliance Expert

NexusSearch International Limited; Hong Kong; On-site; HKD 630,000 - 770,000; Full time

Job summary

A leading search agency is looking for an AVP Operations focused on securities settlement in Hong Kong. The role involves providing compliance guidance, monitoring regulatory developments, and training staff on settlement policies. Candidates should have at least 7 years of compliance experience in investment banks or securities firms, strong analytical skills, and a proactive approach to improving settlements. This position offers a salary of HKD700K p.a.

Qualifications

• Minimum of 7 years of compliance experience focusing on settlement in investment banks or securities firms.
• Strong understanding of key regulators in Hong Kong.

Responsibilities

• Deliver real-time compliance guidance specific to settlement functions.
• Act as the primary contact for business units regarding settlement compliance matters.
• Monitor regulatory developments affecting settlement processes.
• Develop and manage compliance monitoring programs for settlements.
• Provide compliance advice for cross-border settlement activities.
• Train front office staff on new settlement policies and procedures.
• Collaborate with Legal and Operations to establish controls for settlement processes.
• Maintain relationships with regulatory agencies concerning settlement compliance.

Skills

Compliance guidance

Analytical skills

Excellent communication

Problem-solving abilities

Proactive improvement approach

Education

University degree in finance, business, or a related field

Job description

A leading search agency is looking for an AVP Operations focused on securities settlement in Hong Kong. The role involves providing compliance guidance, monitoring regulatory developments, and training staff on settlement policies. Candidates should have at least 7 years of compliance experience in investment banks or securities firms, strong analytical skills, and a proactive approach to improving settlements. This position offers a salary of HKD700K p.a.