Compliance Manager/Assistant Manager
The Job :
- Identify and evaluate compliance risks of the operations and business activities of the respective business unit, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
- Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
- Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices.
- Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
- Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on ongoing basis
- Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to the business unit and advice to the management
Requirements:
- Degree holder of Laws, Finance or other related disciplines
- At least 3-5 years’ relevant compliance experience of the business unit
- Good command of written and spoken English and Chinese including Putonghua
Skills and knowledge:
For position of Compliance Manger/ Assistant Manager – FICC
- With regional/global exposure in the financial industry and well-versed with trading rules of Euroclear etc. strong working understanding on the issues of OTC markets
- In depth knowledge of business support services and products, for example: Asian high yield credit, single name CDS and other sales of debt product (interest rate, credit, or currency products, including futures)
For position of Compliance Manger/Assistant Manager – Equities Derivatives
- With regional/global exposure in financial institution
- Well-versed with trading rules, operating procedural matters of major Stock Exchanges (Singapore, Japan, EU, US etc)
- Strong working understanding on common issues of regulatory and operating procedural matters of OTC markets)
- Exposure to algorithmic trading/market making/structured products issuance and distribution is an advantage
For position of Compliance Manger/ Assistant Manager – Structured Finance Private Equities
- With general legal compliance exposure and knowledge in corporate finance matters is an advantage
- Well-versed with the regulatory requirements, operating procedural matters on the origination and structuring of private equity transactions (in particular cross-border investment)/debt capital market transactions (i.e. loans and bonds)
- Hand-on skill in advising on and/or interpreting funding structures and loan documentation
- Knowledge on foreign exchange implications and regulations pertaining to private equity structured finance transactions
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