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In this newly-created critical regional compliance role, you will provide fixed income trading/brokerage compliance expertise to the business regionally and take a lead on all Hong Kong regulatory matters, both local regulatory compliance as well as AML / financial crime compliance oversight. You will be involved with compliance strategy and framework for the region but also required to roll up the sleeves to get into the detail when needed.
Implement and maintain the compliance program across APAC.
Provide compliance coverage and advisory for the trading platforms.
Provide compliance advice to the business and support functions to ensure compliance with regulatory and internal requirements and standards.
Update business and management on major updates or trends on regulatory change, enforcement action, etc.
Coordinate audits and regulatory inspections. Prepare responses to regulators.
Implement appropriate compliance controls and tools.
Collaborate with regional compliance, legal, operations and risk teams to implement compliance policies and procedures. Provide input on APAC specific requirements.
Drive and execute key compliance initiatives and projects.
Represent APAC compliance in global committees.
Prepare and present periodic reports to senior management.
Prepare the annual compliance training plan.
Develop and deliver compliance training and resources.
Degree holder, preferably in Law.
12-15+ years of relevant Compliance experience in a major regulated financial institution.
Excellent and current knowledge of financial industry rules and regulations.
Expert understanding of fixed income products - bonds and rates, including futures - and brokerage / electronic trading.
Experience in liaising with securities regulators, managing inquiries, surveys and inspections.
Experience developing and conducting training.
Experience working with key regulators in APAC, e.g. MAS, ASIC, HKSFC.
For more information, please apply today.
Sloane Shorey Consulting Limited, Hong Kong is a licenced Employment Agency. Licence number: 54879 | Sloane Shorey Consulting Pte Ltd, Singapore is a Ministry of Manpower approved EA. Licence number: 17S8548
Internal Number: 5503405
About Sloane Shorey Consulting, EA Licence No: 17S8548
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