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