FIC/DCM Compliance, VP

about the job.

• Provide local and regional regulatory compliance guidance and advice to business units, including FIC and DCM.

• Act as the primary point of contact for business units regarding all product compliance-related matters, delivering dedicated advisory support.

• Actively monitor regulatory developments and trends, taking appropriate action to ensure business units comply with new or amended regulations.

• Develop and track compliance monitoring programmes and perform periodic desk reviews.

• Provide regulatory compliance advice and approval for cross-border activities.

• Analyse regulatory changes and their impact on business processes, taking responsibility for updating compliance policies and procedures.

• Train front-office staff on new policies and procedures, and facilitate the development of strategies for seamless implementation.

• Maintain cooperative and professional relationships with governmental policy makers and the regulatory agencies that govern the firm's operations.

• Assist in ad-hoc investigations, including data gathering, analysis, and comprehensive documentation of results.

• Coordinate with relevant parties (Legal, New Products, Controllers, Operations, Risk, and IT) to ensure appropriate controls and policies are established for new businesses.

skills & experience required.

• University degree in finance, business, accounting, law, or a relevant academic discipline.

• Minimum 7 years of relevant compliance working experience within major investment banks or securities firms.

• Comprehensive understanding of key regulators in Hong Kong (e.g., SFC, HKMA), including their culture, policies, and expectations, alongside the ability to assess the impact of overseas regulatory developments.

• Demonstrated ability to effectively review and analyse data, applying sound judgement to remediate issues in a timely manner.

• Deep knowledge and intellectual curiosity regarding global macroeconomics, politics, and socio-cultural developments.

• Exceptional interpersonal and communication skills; the successful candidate must be a strong team player capable of partnering across various business functions.

• Strong sense of risk assessment and management, with the ability to solve problems independently under minimal supervision.

• Proficient in time management with a proven track record of initiating and managing projects.