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Deputy Head of Global Markets Compliance (Investment Bank)

  • Location: Hong Kong
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted 21 days ago

My client, one of the major investment banks in Hong Kong is looking for a Deputy Head of Global Markets Compliance in Hong Kong.

Responsibilities

  • Provide compliance advisory on global markets business activities in Hong Kong with a focus on the sales and trading business across products.
  • Review new business and product proposals from a regulatory, best practice and Firm standard perspective
  • Maintain and update all relevant compliance manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Bank standards, and issue new policies and procedures in light of regulatory or business developments
  • Work closely with other compliance teams on AML, licensing and surveillance matters.
  • Handle compliance issues and incidents in conjunction with relevant stakeholders
  • Identifying and carrying out the necessary actions to provide solutions needed to discharge effective compliance advice to the business.

Requirements

  • Degree holder with at least 10 years of relevant compliance experience in providing public-side compliance in financial institutions and/or regulatory authorities.
  • Strong financial services compliance or regulatory legal background.
  • Excellent knowledge of global markets products-related regulations and exchange trading rules.
  • Prior experience in providing in-house compliance or regulatory legal coverage for securities sales and trading business is an advantage.
  • Excellent verbal and written communication skills in English and Chinese.

Please feel free to contact Calvin Chan at cchan@argyllscott.com.hk for more information or apply for the job.

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