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APAC Compliance maintains a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore, Taiwan and Thailand (125+ staff in total). Our primary focus is to support MARK - global capital markets & GLFI - global structured finance. The allocation of resources in the region is proportionate to company staffing, size of business activities and local regulatory constraints.
Hong Kong is the regional business and Compliance hub. The team is approx. 60+ staff and split into 7 areas of expertise.
Advisory to MARK Business Lines (ADV)
COO Office (COO)
Governance & Regulatory Programs (REG)
Capital Markets Surveillance (CMS)
Assessment, Monitoring & Testing (CTL)
Financial Crime Unit (FCU)
Control Room & Advisory to GLFI/CORI/GTPS Business Lines (GIB)
In other countries, we have multi disciplinary compliance teams covering all functions.
The candidate will be a member of the Hong Kong Compliance team in charge of Capital Markets Surveillance (CMS) and he/she will be primarily reporting to the APAC Head of Communications Surveillance. The candidate will also work closely with other team leaders of the Compliance Department.
Main Responsibilities: The mandate of the Hong Kong Capital Markets Surveillance (CMS) team covers Trade Surveillance, Communications Surveillance, and Disclosure of Interests.
Within the Communications Surveillance team, the candidate will be expected to:
Bring a solid previous experience (e.g. ex-trader) that will benefit the Benchmark Fixings and Market Abuse communications surveillance frameworks.
Promptly undertake communications surveillance using the firm's oral and written communications surveillance tools as instructed by the APAC Head of Communications Surveillance, as appropriate.
Promptly investigate and clearly communicate issues arising from the surveillance activities, involving advisory compliance as required, and follow issues through full resolution with the business lines as appropriate.
Proactively and timely escalate issues to APAC CMS Management as required, ensuring regular and frequent communication on such issues.
Actively participate in regulatory and internal investigations as required.
Any other tasks/projects as assigned.
Product knowledge (structured products, equities, fixed income, currencies, commodities) Necessary to understand communications of Front Officers and transactions on complex products. Ideally an ex-trader could perfectly fit the position.
Tenacity and being results oriented Communications surveillance is a very time consuming task.
The candidate must be ready to cope with a significant workload of alerts and messages to review every day.
Ability to estimate risk
The candidate will be required to exercise judgement on regulatory risks. It is essential to our everyday activities in Compliance. He/she needs to be curious and proactive in raising questions and concerns.
The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture.
Oral and written communication
Communication is at the center of what we do every day. The candidate must be fluent in English, Cantonese and/or Putonghua, and ideally also in French as the demography of Front Officers requires to know those languages.
Analytical skills and ability to summarize key messages
The candidate will be entrusted with projects and tasks of his/her own and his/her manager will expect to receive very clear and concise feedback on the work progress.
Languages English Fluent - Working in an international environment. Cantonese and/or Putonghua Fluent -Those languages are commonly used by our staff in APAC. French (nice to have) Fluent - French is a nice to have as many traders and sales are French .
Internal Number: 5876118
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