Global Markets Compliance Manager/AVP
Salary HKD600,000 - HKD800,000 per annum
Location Hong Kong
Consultant Megan Craighead
Date posted 25 January 201841 Connaught Road Central Hong Kong Robert Walters Hong Kong
A top regional bank is hiring into its compliance advisory team covering global markets. You will need to have strong product experience across equities, fixed income, FX, and/or commodities, in depth regulatory knowledge, and trade surveillance exposure. This role sits directly on the trading floor and will provide advice to the business as needed.
- Conduct monitoring and surveillance against Global Markets activities
- Provide compliance advice to the business to ensure full compliance with regulatory requirements and internal standards.
- Review policies, procedures, marketing materials, new product proposals and customer correspondence, as well as carry out compliance review.
- Execute compliance plan, support local compliance related risk assessments, ensuring that they are completed effectively, with monitoring plans prepared and executed.
- Study the new regulations issued by regulatory bodies and assist in fostering the compliance culture of the Bank.
- Minimum of 5-7 years' experience in compliance, audit or risk management field in financial services industry, with exposure to the global markets activities or monitoring and surveillance an advantage.
- Good knowledge of rules, regulations and statutory requirements from the Hong Kong Monetary Authority and the Securities and Futures Commission.
- Fluent English, Cantonese, and Mandarin