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Compliance Division, Securities Division Compliance, Associate/Vice President, Hong Kong
Finance & Investment Industry Company
Hong Kong, , Hong Kong
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Compliance Division, Securities Division Compliance, Associate/Vice President, Hong Kong
Job id 44606 Location Hong Kong Full/Part Time Full-time
Job Summary & Responsibilities
The position open in SDC (based on the trading floor), is focused on providing primary coverage support to the FICC Division. SDC also works closely with other Firm divisions such as PWM and Investment Banking Division, and departments, such as Legal, Controllers, Credit, Information Technology and Internal Audit. This is a trading floor-based compliance function providing real time support to various businesses within Securities Division. The role also involves driving forward strategic business initiatives and projects.
Responsibilities
• Primary coverage focused on the FICC business in their day to day business operations, providing advice on individual transactions, new products and business initiatives
• Review marketing material and approval requests such as system access and customer valuations request
• Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the APEJ region in order to assist the firm in avoiding economic, regulatory/legal liability and reputational risk
• Devise and implement strategic solutions with senior compliance management and other control side departments to support the Compliance functions
• Develop policies, procedure and best practices for business units
• Conduct Compliance training to Securities Division professionals
• Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary
Basic Qualifications
• Dynamic individual with 4-7 years of compliance, legal, audit or other control function experience covering FICC and/or Equities Derivatives products
• Knowledge of HKMA requirements is not mandatory but an advantage
• A team player with effective communication and interpersonal skills, able to work well with people in the front office and support functions
• Strong analytical and organizational skills, able to multi-task and manage execution under a pressured environment
• Inquisitive and proactive in identifying risks and proposing solutions
Preferred Qualifications
• Fluency in reading and speaking Chinese is a plus
Company is an equal opportunity employer. © The Company Group, Inc., 2016. All rights reserved.