AVP, Compliance Advisory, Markets Business

Banking| FS| Guangzhou

Banking| FS| Guangzhou

About KPMG Executive Search and Recruitment

KPMG is a global network of professional services firms providing Audit, Tax and Advisory services. KPMG Executive Search and Recruitment is a business unit of KPMG China and is one of the few recruitment consultancy firms in China that is part of a large professional organisation.  We work alongside a group of professionals and advisors who provide us with a high level of insights and awareness about a wide range of businesses and professions. We support the clients and aim to provide a pleasant working experience for the clients and candidates. 

The Client

Our client is one of the largest banking and financial services organisations in the world, with operations in 64 countries and territories. Our client is committed to building a culture where all employees are valued, respected and opinions count. It takes pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. 

Responsibilities

  • Providing support to Equities Compliance team in Markets and Securities Services including cross business line compliance support in training, regulatory inquiries, establishing procedures within the Compliance workflow etc.
  • Work closely with the Markets and regional and country stakeholders to deploy the risk assessment and follow on implementation activities for the regional hub.
  • For all aspects of Compliance, perform analysis and provide support on new regulatory development/initiatives, driving coordination, execution and assurance where required.
  • Assist in the developm测ent of policy and training.
  • Support the drive to develop the compliance framework and to work to integrate with the bank’s operational-risk views; and provide independent oversight as Risk Steward.
  • Supervise the preparing management reports and other ad hoc reports for management information.
  • Coordination of materials into various local, regional and global governance forum.
  • Assist in coordination of submission for questionnaire and/or inquiries from regulators including SFC, HKMA, HKEX etc.
  • Assist in the developing and enhancing Compliance policies and procedures.
  • Support regular and tailored training to relevant staff on compliance matters.

Requirements

  • Strong analytical and problem solving skills, as well as collaborating with globally dispersed teams.
  • A very good understanding of the financial services industry, regulatory landscape and compliance, and experience or knowledge of Equities related rules would be beneficial but not essential.
  • A good level of spoken and written English and Chinese (Mandarin).
  • Good communication and influencing skills including strong written and oral communication skills demonstrated by a history of writing reports, procedures and making oral presentations to senior staff either within the Group or similar.
  • Excellent analytical skills.
  • Ability to work in a methodical manner.
  • Robust and timely record keeping, evidencing and delivery.
  • Ability to support decisions with sound reasoning.
  • Excellent time management and prioritization of work tasks.
  • Strong report writing skill.
  • Good eye for details.

Applications

For information and application, please contact us at jade.j.zhang@kpmg.com. By submitting your application and communication with us, you agree to receive communications from us and agree our Personal Information Collection Statement in the following link: www.kpmg.com.cn/KER- opportunities

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