and ensure consistency of approach and provide the necessary technical support to officers in the region with these objectives in mind.
Specifically, as an advisor in both the GM Compliance HK and GM (FXLM, Rates, Credit / ALMT) Compliance APAC team, he / she will :
for the local team :
for the regional team :
This role enables the candidate to join an established team enjoying strong relationships with business areas and support functions, and work in an experienced and professional environment to maintain a strong compliance culture within Global Markets Compliance in Hong Kong.
Specifically, this candidate will be based on the trading floor in Hong Kong. The candidate would report to the Head of Equities Compliance, APAC, Global Markets.
Competencies (Technical / Behavioral)
The incumbent will have knowledge in most if not all of the following asset classes :
OTC derivatives in Interest Rates Credit, Foreign Currency, Structured deposits
Structured investment products
Subject specialism would also be useful, e.g. primary market activities, wall crossing, conflicts management, KYC and characterization requirements, suitability and client interest protection, sale of investment products, etc.
Strong analytical and problem solving skills. Willing to learn, tenacious, hardworking and enthusiastic. The candidate must possess good communication and social skills to be a team player and work with all levels.
Independent minded, with good command of written and spoken English. Sound knowledge of Word, Excel and PowerPoint.
Specific Qualifications Required
Education : Undergraduate Degree
Experience : A minimum of 5 or more years of experience in the compliance department of a financial institution, with knowledge of fixed income products and / or capital market activities such as FI DCM or Syndicate.
Possess an excellent knowledge of HKMA / SFC rules and regulations, and their practical applications.
The candidate should be a senior professional with regulatory and related industry experience. This will entail sufficient experience and a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces.
HK-Hong Kong (HK)-Hong Kong
Education Level : Bachelor Degree or equivalent (>
Experience Level : At least 5 years
EA LICENCE NO : 11C4684
COMPANY REG NO : 201131609D