Global Market compliance - VP

An international financial institution is seeking a VP/SVP for their Global Markets Compliance Advisory team in Hong Kong. This role provides comprehensive compliance coverage for Global Markets business activities (Equities and Fixed Income).

Responsibilities:

• Provide day-to-day compliance advisory to Global Markets business

• Participate in the validation process for new products/processes/activities

• Participate in regulatory-driven projects and initiatives
• Support regulatory inspections, investigations, and inquiries
• Develop and deliver compliance training
• Maintain and update compliance policies and procedures

Requirements:

• Bachelor's degree in finance, business, law, or a related field.
• At least 5 years of relevant compliance experience in markets compliance or regulatory compliance covering global markets desks
• In-depth knowledge of Hong Kong regulatory requirements and market practices related to Equities and Fixed Income businesses
• Excellent stakeholder management and communication skills
• Ability to work independently and make sound judgement calls

• Good command of written and spoken English and Chinese