Global Market compliance - VP

An international investment bank is seeking a Global Market Compliance professional to join its Hong Kong office.

What you'll do:

• Provide compliance advisory to FICC businesses across sales, trading, and structuring activities in the APAC region, ensuring all operations align with current regulations.
• Deliver timely and practical regulatory advice to front-office staff regarding the design, execution, and documentation of FICC transactions, including secondary market activities, electronic trading platforms, voice trading channels, and complex structured products.
• Interpret new and existing regulations—such as those relating to conduct, market abuse, best execution, investor suitability—and communicate their impact on business strategies, client interactions, and booking models while coordinating with legal teams as needed.
• Participate actively in the approval process for new products and business initiatives by assessing regulatory, conduct, and reputational risks; challenge structures where appropriate; and ensure necessary controls are implemented before launch.
• Act as a primary point of contact between FICC business units, second-line compliance functions, and regulators on matters concerning market conduct, investor protection requirements, prudential standards, and licensing obligations.
• Lead or support regulatory change projects relevant to FICC by conducting gap analyses, designing controls, overseeing implementation processes, and performing post-implementation reviews to ensure ongoing compliance.
• Work collaboratively with central compliance teams, risk managers, and operations staff to design and review surveillance controls over FICC trading activities—including monitoring for market manipulation or conflicts of interest—and escalate or remediate issues as required.
• Contribute to periodic compliance risk assessments for FICC businesses by documenting inherent risks, evaluating control effectiveness, developing remediation plans, and presenting findings to governance committees.
• Support the maintenance of an effective compliance framework by assisting with policy development, surveillance enhancements, targeted training programmes, and governance processes specific to FICC activities in the region.
• Prepare regular compliance reports for senior management and risk committees detailing key risk indicators, incident trends, regulatory developments, and progress on remediation actions within the FICC area.

What you bring:

• Hold a bachelor’s degree or higher qualification in Law, Finance, Business Administration, Economics or a related discipline which underpins your understanding of financial markets regulation.
• Possess recognised professional qualifications such as legal credentials or certifications in compliance or securities markets that demonstrate your commitment to ongoing professional development.
• Bring at least seven years’ experience in market compliance roles within large international or regional banks, securities firms or regulatory bodies—ideally with direct exposure to FICC products as well as sales/trading environments.
• Demonstrate deep knowledge of global financial markets regulations affecting FICC businesses—including conduct regimes (e.g., market abuse), derivatives reporting requirements (e.g., transaction reporting), suitability rules for investors/distributors, as well as cross-border marketing restrictions.
• Exhibit excellent stakeholder management abilities, enabling you to influence constructively across front-office teams and support functions while managing multiple priorities effectively under pressure.
• Show proficiency in both English and Chinese languages so you can engage confidently with clients, regulators and colleagues throughout the region on complex compliance matters.
• Display sound judgement when navigating ambiguous situations or balancing competing demands—ensuring pragmatic solutions without compromising regulatory standards.
• Have proven experience designing or reviewing surveillance/monitoring controls over trading communications (e.g., detecting market manipulation or information barriers) within fast-moving environments.
• Demonstrate strong written communication skills through preparation of clear reports for senior management/risk committees covering key risk indicators/regulatory updates/remediation status within FICC areas.
• Possess a collaborative mindset that values teamwork—enabling you to share insights openly while supporting others’ development through targeted training initiatives.