Senior Compliance Advisor, Equities, WB Compliance recruitment
Key Roles Responsibilities
- Assists in the identification of material regulatory and reputational risks in the business
- Anticipates and assesses key regulatory and product risk trends in the business for management consideration and helps drive the development and implementation of appropriate mitigation control measures
- Undertakes continual assessment of regulatory risks associated with existing products and those under development
- Participates in the governance of a business
- Assists in approving new products and new business initiatives
- Assists local teams with product line expertise as required, particularly with regard to regulatory inspections or investigations
- Assists in management and implementation of the product compliance coverage framework and in the preparation and distribution of management information in relation to the product compliance coverage
- Develops Compliance policies and procedures applicable to the business
- Ensures appropriate documentation of controls and control decisions
- Actively participates in the delivery of a program of activities that educates and encourages business managers and staff to operate in compliance with relevant laws, regulations and policies
- Develops and implements Compliance monitoring in conjunction with relevant stakeholders
- Direct responsibility for the Desk Review process
- Builds relationships with relevant stakeholders in the business, in the LC organization, and in other risk functions
Qualifications Skills
- Possesses core technical knowledge in typical laws and regulations applicable to the Equities business
- Understanding of variations in such laws and regulations across various jurisdictions
- Knowledge of trading activity - e.g. client flow transactions, portfolio management activity, market making activity, principal trading, and the permitted interaction between such activities
- Basic knowledge of capital markets origination, distribution and secondary trading - deal mandates, underwriting, book building, placements
- Knowledge of licensing issues and cross-border marketing risks
- Basic familiarity with market manipulation/client mis-selling issues in these markets
- Core knowledge in risk identification, risk assessment, controls development, training, monitoring and reporting
- Ability to analyze relevant laws and regulations and co-relate regulatory issues to products and business models
How To Apply
You can search and view current opportunities across our organisation and apply immediately by registering or logging in to our careers website www.standardchartered.com/careers.
November 24, 2009
• Tags: Accounting & Finance careers in the Hong Kong SAR, Equities, Senior Compliance Advisor, WB Compliance recruitment • Posted in: Financial