Senior Compliance Advisor – Global Markets recruitment
- Reporting to the Head of Country Compliance Team
- VP-SVP Level role
About Our Client
Our client is a Global Investment Bank.
Job Description
- Provide advice to Country and Business Heads to ensure that they establish and monitor appropriate arrangements for meeting regulatory obligations and high standards of conduct in their businesses
- Promote the implementation of policies on compliance issues which are material to the Group within the Bank.
- Design policies and procedures to report, eliminate or minimise the risk of breaches of regulatory requirements and of damage to the Bank's reputation.
- Seek to obtain compliance by staff with the letter and spirit of policies and procedures, including promoting and reviewing compliance with the Group Code of Conduct, undertaking compliance assurance at appropriate frequencies to assess compliance with regulatory rules, internal compliance standards and Group policies, and co-operating and co-ordinating with Functional Compliance Officers to help obtain full compliance in the businesses and functions within the Bank.
- Manage the provision of compliance training through all available channels including conducting/coordinating formal sessions, training the trainers and promoting computer-based training to enhance the compliance knowledge and awareness of staff in a focused and consistent manner and in accordance with Group standards within the Bank.
- Provide pro-active and consultative advisory service to management and local staff within the Bank on regulatory, reputational, ethical and compliance related issues/matters, including providing updates to management and staff on regulatory developments relevant to the Group’s business and monitoring the handling of complaints against the Bank.
- Supervise the management of regulatory problems arising from alleged or actual breaches of regulatory requirements or ethical standards within the Bank, where there is a material risk to the reputation of the Group or its relationship with its regulators, so as to avoid / minimise reputational damage.
The Successful Applicant
- At least 7-10 years experience in Compliance
- Knowledge of applicable laws and regulations - HKMA or SFC regulations in HK and the ability to interpret them and apply them to actual situations.
- Knowledge of the Global Markets (Equities or Fixed Income) or Transaction Banking products
- Strong communication skills and presentation skills - role will work closely with senior management and front office business
What's On Offer
- Fast-paced, international working environment
- Highly competitive compensation package
August 2, 2012
• Tags: Equities careers in the Hong Kong SAR, Global Markets recruitment, Senior Compliance Advisor • Posted in: Financial