Key Responsibilities include-
• To ensure that Markets meets the corporate requirements of the group as well as the strategic requirements of the bank
• Responsible for working with business lines and business partner functions to review the impact of regulatory change and to participate in working groups as the Compliance Specialist for Markets
• Working with other Compliance professionals across the broader Group Compliance team to ensure co-ordinated and complete delivery of services and effective communication of relevant information and observations.
• Responsible for recording and preparing escalation data on Compliance issues impacting markets business
• Contribute to the development of projects and programs to improve compliance and enhance the control environment.
Requirements as below-
• Minimum Bachelor's degree in legal/finance/business or related areas
• Compliance experience, covering wholesale markets compliance, specifically equities and fixed income, money market funds, FX, etc.
• Experience working in a compliance function within a global organisation
• Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences
• Detailed knowledge of regulatory requirements in Hong Kong