Global Markets Transversal Compliance Officer (Foreign Bank)
Selby Jennings
Hong Kong, Hong Kong
6d ago

Responsibilities :

  • Provide advisory support to the global markets division according to the Bank's policy and the relevant rules and regulations
  • Liaise with regulators and execute regulatory procedures and inspections
  • Provide assistance on ad-hoc investigations including data gathering, analysis and documentation of results
  • Analyse potential impacts of business controls procedures and provide Compliance advise to related teams and parties
  • Coordinate with relevant parties including Legal, New Products, Controllers, Operations, Risk, IT and other areas to ensure the appropriate controls and policies and procedures are in place for new businesses
  • Identify potential compliance and reputation risks, and make effective escalation
  • Requirements :

  • 5 + years of global markets compliance experience within corporate and investment bank
  • Strong understanding in global markets business including regulatory development and compliance
  • Solid understand of Hong Kong Banking laws and HKMA regulations; knowledge of other regulatory requirements in China is preferred
  • Familiar with fixed income products as well as instruments types
  • Excellent communications skills and strong stakeholder management
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