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You being familiar with investment bank's interaction with distributors including internal distribution, having responsibilities with you advising on Firm's policy and relevant rules and regulations issued by both SFC and HKMA. With you being based on the trading floor.
Your key roles and responsibilities, providing day-to-day compliance support to teams within APAC Solutions.
Designing and rolling out compliance framework for the newly integrated APAC Solutions team.
Delivering and designing compliance training on regulatory, compliance policies and procedures.
You reviewing sales and marketing materials from product and regulatory perspectives.
Your involvement in product governance including external products and in-house products.
You participating in relevant industry group discussion and coordinate within the Firm on global regulatory initiatives that impact products issued by APAC Solutions such as trade repository/ central clearing, IOSCO, SFC online platform review etc.
Your handling of regulatory enquiries and manage regulatory examinations.
Your participation in strategic projects and initiatives, including participation in New Business committees.
You working with other compliance areas such as CSPB Compliance on CSPB related matters, country compliance on jurisdiction specific matters.
Your partnership with other senior members on the team with ad-hoc compliance issues.
Being a degree holder in Accounting, Law or related disciplines.
A minimum of 4 years product compliance experience in a global investment bank.
Structured product knowledge an asset.
Experience dealing with front office is a plus.
Having a high motivation and diligence.
Ability to learn quickly and handle multiple demands.
Being a problem solver with strong organizational and analytical skills.
Ability to effectively and actively communicate with people of any professional level.