Director Compliance – Monitoring and Surveillance recruitment
Overview
Our client is a leading international financial services group with a strong footprint in Asia. A high profile opportunity exists to join their existing regional monitoring and surveillance division. The role would ideally be situated in Hong Kong but there is potential for it to be based in Singapore. The role reports directly to the APAC head of Central Compliance and will have a number of senior stakeholders to manage.
The ideal candidate will have a university degree or equivalent education with at least 4-7 years of Compliance experience within a financial institution, regulatory body and/or comparable environment. Candidates with prior monitoring and surveillance experience will be highly regarded, as would an individual who could demonstrate a good knowledge of the local market and local language skills e.g. Mandarin or Cantonese.
Responsibilities Include
- Performing surveillance of the Equities, Exchange Traded Derivatives (ETD) and Fixed Income, Currency and Commodities (FICC) businesses, Control Room monitoring and other monitoring requirements;
- Contributing to and implementing strategic department projects including global and regional initiatives run out of Central Compliance requirements;
- Investigating and closing out monitoring alerts thoroughly in a timely manner, and ensuring significant issues identified are fully investigated and promptly escalated where necessary;
- Working closely with Legal Compliance to enhance existing routines and develop new monitoring tools.
Skills and Qualifications
- Ideally at least 5 years relevant experience either from a comparable financial organisation or regulator;
- Good working knowledge of banking and securities laws, regulations, directives and regulatory expectations;
- Participate in regional/global projects within the Compliance department;
- Good communication skills (both written and oral) along with good interviewing skills and the ability to ask the right questions in order to obtain a thorough knowledge of a subject;
- Excellent report writing skills and the ability to communicate risks, controls and proposed operational solutions in an effective way to audiences of all levels of seniority;
- Pragmatism and the ability to 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions and providing compelling solutions;
- Self-motivation, confidence, an out-going and enthusiastic nature, and the ability to act with tenacity and diplomacy and
- Good organisational skills, both personally and within a project management role.
To apply for this position please contact Robert Conway at robertconway@taylorroot.com.hk or Jenny Yeung at jennyyeung@taylorroot.com.hk. Alternatively for more information regarding the position or for a confidential career discussion please contact Robert or Jenny on +852 2973 6333.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
