Compliance Advisor (Global Markets focus)

What you do

• Provide compliance advice, review new business and products such as equities, fixed income, derivatives, currencies, rates, options, futures and swaps of Global Markets division

• Formulate and maintain regulatory compliance related policies and procedures to ensure compliance with regulatory requirements

• Prepare and deliver compliance training to relevant Bank’s staff

• Assist in disseminating the latest regulatory requirements to the relevant business or functional units and follow-up with the respective units on the respective implementation plan

• Handle and manage breach/incident reporting to the regulators

• Maintain oversight on local and overseas subsidiaries

• Assist in preparing and coordinating responses to regulatory inquiries

• Assist in reporting any compliance related issues to management

• Assist in performing communication surveillance and the Group in carrying out control room function

• Handle other ad-hoc tasks assigned by the Team Head and Head of Regulatory Compliance

Who you are

• A degree in law, finance, or a related field

• Solid 6-8 years of compliance, audit, and related fields with hands-on experience in compliance

• Experience working or knowledge on Exempted Fund Manager/ Exempted Proprietary Trading, wall crossing and communication surveillance is a plus

• Knowledge in banking products, services, and operations

• Good interpersonal, analytical and presentation skills

• Proficiency in both written and spoken English