Director, Fixed Income Compliance
Due to expansion, they are currently looking for a strong compliance individual with knowledge and experience in Fixed Income Products to join its existing Fixed Income Compliance Team.
Reporting to the Senior Director of Fixed Income Compliance team, you are mainly responsible for liaising with regulatory bodies on various regulatory matters such as SFC, HKMA and HKEx rules including surveillance requests. You will design and implement trading surveillance programmed and prepare management reports on various compliance matters. There should be a continuing support on advising business units on new regulatory developments, compliance coverage and advice for Fixed Income and Treasury. In addition you will provide training support to staff members on regulatory and compliance maters, implement compliance rules including staff trading. You will also assist in dealing with KYC and AML issues, conducts investigation upon request of management. From time to time, there will be customer complaints that need to be dealt with by coordinating with other offices within the region.
You should hold a Degree in Accounting/ Finance / Law with professional qualification such as CPA, CFA and etc. You should have at least 5 years of relevant experience in compliance (preferably in investment banking/ fixed income . Candidates with regulatory background will be considered. You should be able to speak fluent English and Mandarin.
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