Compliance Manager, Global Markets

Job Purpose & Objectives

● Assist and support business management in identifying, assessing, measuring and mitigating compliance risks.

● Provide reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and ethical standards within the context of corporate governance.

● Handle regulatory issues related to business partners and ensure appropriate management escalation.

● Manage relationship and develop mutual understanding with the regulators and monitoring authorities with respect to compliance matters.

● Work closely with business partners to broaden and deepen their knowledge and behaviour on business and industry specific regulatory requirements.

Key Responsibilities

● Provide advice and support to the Global Markets business units and management with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.

● Review new business/new product initiatives and provide compliance input to ensure compliance with applicable regulatory requirements and internal policies.

● Prepare and update policies and procedures in line with Group Policy and with regard to local laws, rules, regulations and guidelines.

● Provide trainings to relevant staff on changes and development of laws, rules, regulations and guidelines.

● Ensure business activities are properly licensed and all relevant staff are properly registered with regulators as appropriate and comply with relevant licensing requirements.

● Trades monitoring including staff personal dealings and assist in management of transactional conflicts of interest.

● Monitor key compliance issues and ensure prompt escalation to senior management or designated committee.

● Liaise with relevant regulators for any regulatory enquires and compliance related issues.

● Co-ordinate and manage relationship with regulators.

● Ensure regulatory reviews conducted by regulators are properly handled and regulatory reporting, filings and self-assessments are properly prepared and filed.

● Perform compliance review on Global Markets business units in accordance with the standards and guidelines contained in the compliance monitoring plan.

● Handle any other ad hoc projects.

Qualification & Experience

● Degree holder in Finance, Accounting or Laws

● At least 8 years compliance experience in financial institutions

● Solid experience in global markets products and business operations

Knowledge & Skills

● In-depth knowledge of regulatory and compliance requirements in relation to global markets business

● Well-versed with global markets financial products

● PC literacy (Microsoft Office including word, excel and powerpoint)

Language

● Proficient in written and spoken English

● Proficient in written and spoken Chinese

Other Skills (e.g. Interpersonal, Communication etc)

● Strong interpersonal and communication skills

● Customer-oriented

● Self-motivated and be a team player

● Ability to work under pressure