Reporting to the Regional Head of Global Market Compliance, you will be responsible for a range of regulatory compliance functions including compliance advisory to global markets front office staff, regulatory-related projects and compliance risk assessment.
- To provide pro-active advice to front office staff (equity and fixed income) on transactions and, business activities, regulatory policy and reputational issues to ensure compliance with legal and regulatory requirements.
- To conduct staff training and support development needs and plans with a focus on capital markets business, particularly brokerage, trading and selling activities.
- To help to ensure the Bank has a robust system and procedures to comply with regulatory and exchange rules regarding trading activities originated by HK staff in Asia markets; scrutinize and follow up the results of alerts and reports.
- To liaise with compliance controls team on compliance monitoring and review, including transaction monitoring and the prevention of market abuse and pre-trade and post-trade controls.
- To help to ensure capital markets policies, procedures and guidelines are up to date, providing input and liaising with regional and head office teams.
- Minimum of 6 years’ experience in financial markets compliance with specific experience of compliance advisory for capital markets.
- Able to apply regulations to a variety of complex products and transactions.
- Skilled at offering alternative solutions to difficult problems.
- Ability to work with people at all levels with excellent English skills, oral and written.
- Ability to work in a demanding and dynamic environment.
- Solid knowledge of Compliance rules and regulations, with prior experience of providing compliance advice for Fixed Income and/ or Equity Derivatives for an international financial services firm.