Head of Compliance (Hong Kong), International Investment Bank recruitment
The Company
My client is the world’s premier voice and electronic interdealer broker and provider of post trade risk and information services. The Group is active in the wholesale markets in interest rates, credit, commodities, FX, emerging markets, equities and equity derivatives.
They believe that they can best provide the service their customers need by combining the strengths of their people together with technology – continuing to set the standard for the industry.
The Position
- Ensuring the Bank and Securities Business’ identifies and satisfies its regulatory obligations in the Asia-Pacific region
- Supporting and advising the key business lines on issues relating to compliance;
- Assisting the Head of Compliance, Asia-Pacific to protect the interests of the Bank and the banks Securities division in Asia-Pacific.
- Implementation of compliance strategies and practices as directed.
- Managing and maintaining the Anti-Money Laundering (AML) Program, including advising senior management on AML issues, maintaining the policy, implementing procedures and ongoing review of the Program.
- Maintain up-to-date knowledge and understanding of regulatory requirements and developments as well as industry practices that affect the local businesses of the Bank and the Securities;
- Assess and assist various businesses of the Bank and the Securities in their adherence to internal policies/procedures; industry best practice and applicable regulatory guidelines;
- Develop and update Compliance policies, procedures, manuals and programs on an on-going basis to reflect changes in business practices, regulatory changes and industry requirements;
- Monitor and maintain Compliance Framework and Program (for e.g. monthly compliance reports, managing and reporting potential or material breaches, conducting compliance training sessions, monitoring and reporting on the Compliance Risk Management and Monitoring Framework);
- Conduct reviews in accordance with the Compliance Review Schedule (for e.g. Risk Self Assessment Questionnaires, Employee Acknowledgement of Obligations, relevant registers and databases);
- Foster internal and external relationships (for e.g. regulators, local and off-shore business units) and respond to any queries or requests as required;
- Participate in Securities and the Bank Financial Group Global Conference Calls as required;
- Provide annual compliance training and refresher courses
- Ongoing support of Head of Compliance, Asia-Pacific
The Candidate
You would have at least eight years of compliance experience within a similar investment/wholesale banking setup. Specific product knowledge in F/X, Sales Trading, DCM Origination, and Trade Finance would be advantageous for this position. Experience working with HKMA or MAS is essential.
*Candidates with some regulatory knowledge are encouraged to apply.
Interested candidates can either forward their CVs in word format and quote reference code NG/35047/RL to compliance@talent2.com.sg or contact Nathan Garside in our Singapore Office at +65 6511 8526 for a preliminary discussion.