Global Markets Compliance Manager
Responsibilities
· Support and assist senior line management of Global Markets (Cash Equities, Equity Derivatives, Foreign Exchange, Futures, Interest Rates, Prime Finance and Balance Sheet Management) in Hong Kong and the Asia-Pacific region to comply with all relevant external regulations, codes of conduct, internal codes/policies and good market practice that affect Global Markets business in Asia-Pacific.
· Rotation with various Global Markets Compliance teams (Central Compliance – Regulatory Licensing, handling regulatory request, trade monitoring and surveillance, and Control Room Compliance – Conflict Checks, Staff Dealing monitoring, Email Surveillance and Substantial Shareholding Disclosure) to understand relevant aspects of different functions.
· Liaise and work with regional and local Compliance in providing comprehensive Compliance Advisory support to relevant Global Markets businesses.
· Be aware of the Compliance related Operational Risk scenarios associated with the role and act in a manner that takes account of these considerations.
· Monitor whether Global Markets activities operate in such a manner and to take remedial action where necessary.
· Understand and implement Compliance control procedures using all relevant internal and external rules and regulations that apply to the conduct of the business.
· Utilise a wide range of influencing, negotiation and escalation techniques that are appropriate and required during the course of performing the duties.
Requirements
· University graduate with solid compliance/operational risk experience, minimum 3 years of experience;
· Knowledge of Global Markets products is advantageous;
· An understanding of the regulatory environment in Hong Kong;
· Strong communication and interpersonal skills;
· Analytical and problem-solving skills;
· Fluent in Cantonese and English;
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