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This role reports into the Head of Markets Compliance for Hong Kong. The successful candidate will cover Equities Compliance in Hong Kong and will be supported by two AVPs in the Equities Compliance team in HK as well as work closely with the wider Markets Compliance, Country and Central Compliance teams to support the relevant businesses. The role will provide wide and deep exposure in covering all equities related business activities in Asia, work with senior stakeholders in building out risk and control framework from Compliance perspective.
The successful individual should have strong experience in Equities compliance area, work closely and proactively with the business in their daily operation and their business built-out plan. The person would also be tasked to manage policy development and engagement on assigned issues, working with business unit MDs and D to develop strategy for the effective and efficient operation of the business division. Support the Head of HK Markets Compliance in providing high quality and trusted regulatory advice to the Heads of relevant HK Markets business and support functions and to Country Management.
Provide concise advice to the "Equities Business areas" including EFG, EFS and Electronic Trading businesses lines of key impacts; Work with Senior Management to devise and implement a strategy for Equities Business to deliver successful outcomes in relation to regulatory issues
Act as Group lead on assigned regulatory issues, creating governance and working group structures to develop views on thematic challenges and on specific regulatory issues.
Identify key regulatory issues with potential for significant Inherent Risk and perform detailed analysis and detailed completion of the Conduct Relevant Risk Assessments (CRA and RCSA)
Work with Senior Management within Equities Business to contribute to drafting of specific desk procedures and development management information initiatives, aligning with regulatory landscape changes,
Undertake analysis of complex regulatory proposals, including consultation papers issued by regulators and other changes to regulation arising from Regional and Global Regulators (e.g. MIFID II, Dodd Frank etc.).
Work with Head of Market Compliance for Hong Kong and represent Compliance in business led projects and provide concise guidance on regulatory implications, such as on the following subjects:
Conflicts of Interest
India ODI regime
Short Selling Requirement
Proactively network, develop links within external parties within the industry and representing Barclays in undertaking work with the external industry trade associations.
Lead the development and the roll-out of bespoke training in relation to matters of remediation and compliance policies
Act as a key anchor in the team and encourage others to engage in close teamwork.
Essential Skills Required experience
Comprehensive knowledge of Compliance policies relevant to assigned business areas.
Detailed knowledge of Equities Products and the marketing and distribution of such products to institutional and intermediary counterparties targeting retail markets, knowledge of APAC regulation.
Extensive experience of working in a Compliance Trading Floor environment.
Strong track record of successful performance in Compliance in an investment bank or similar regulatory role at an investment exchange or financial regulator.
Strong project management and leadership skills.
Strong ability to influence and advise MD/D level business management on regulatory, conduct and reputational issues.
Experience in developing and delivering high quality training on regulatory matters.
Excellent communication skills with ability to liaise with stakeholders at all levels of the organisation up to Executive level.
Ambitious, intelligent, proactive and hard working individual who consistently challenges processes and looks for improvements. Shows adaptability to take on ad-hoc deliverables, ability to prioritize own workload and that of other
About Us Barclays is a transatlantic consumer, corporate and investment bank offering products and services across personal, corporate and investment banking, credit cards and wealth management, with a strong presence in our two home markets of the UK and the US. Our goal is to become the bank of choice by providing superior services to customers and clients and supporting our stakeholders via a commercially successful business that generates long-term sustainable returns. Risk and Control Objective All Barclays colleagues have to ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards. Your Application To be considered for this role, click on the apply button now.
Barclays Values & Diversity Dynamic working gives everyone at Barclays the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager. We are an equal opportunity employer and we are opposed to discrimination on any grounds. It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.