Senior Compliance Officer - Global Markets

Larson Maddox
Hong Kong, Hong Kong
Jan 28, 2023
Feb 12, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Company Overview

A top leading international financial institution providing extensive services in corporate banking, wealth management, asset management, and insurance to clients worldwide is currently seeking an enthusiastic and independent minded individual with strong communication and multi-tasking skills. This individual will join the Global Market Compliance team as a Senior Compliance Officer to advise on regulatory matters and manage regional projects.

Job Requirements
  • Deliver the Global Markets Compliance program and lead in Global Market compliance projects and committees
  • Manage changes and update on relevant new laws, rules, and regulations
  • Liaise with stakeholders and handle regulatory inquiries, inspections, audits, and surveys
  • Manage compliance issues, incidents, and breaches and prepare MIS and incident reports
  • Handle and update compliance policies, procedures, and other related matters
  • Review new business and product proposals or transactions; and approve in accordance with delegated authority
  • Conduct periodic reviews and updates of Compliance policy and procedures and provide guidance to stakeholders
  • Support team and stakeholders of regulatory development, changes, and impact on business (gap analysis)
  • Support in monitoring and control systems to limit risk and compliance-related issues and provide support to improve effectiveness
  • Support in producing periodic MIS and KPIs in the business when necessary
  • Support in compliance training for new and current employees
  • Provide support to any compliance issues and administrative support to the APAC Head of Global Markets

  • 8+ years of Compliance experience in FI, international brokers/ regulators
  • Knowledge of HKMA/SFC requirements and application
  • Knowledge of APAC global market products (equity derivatives, prime services, electronic trading)
  • Knowledge of risk and control framework or procedure in banks
  • Knowledge on QFII/ QDII/ Stock Connect
  • Bachelor's degree in relevant disciplines
  • Good command of written and spoken English
  • Advisory experience preferred
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