We Offer You are familiar with investment bank's equities trading/execution model. You are able to advise on Firm's policy and relevant rules and regulations issued by both SFC and HKMA as well as the HKEx. You will be based on the trading floor.
Key roles and responsibilities are the following:
Provide day-to-day compliance support to teams within APAC Solutions and Trading team.
Design and roll out compliance framework for the newly integrated APAC Solutions Trading team.
Design and deliver compliance training on regulatory, compliance policies and procedures.
Participate in relevant industry group discussion and coordinate within the Firm on global regulatory initiatives that impact trading/execution practices within the APAC Solutions Trading team such as MIFID II, IOSCO, electronic trading regulations etc.
Handle regulatory enquiries and lead regulatory examinations.
Participate in strategic projects and initiatives, including participation in New Business committees.
Work with other compliance areas such as CSPB Compliance on CSPB related matters, country compliance on jurisdiction specific matters.
Assist senior members on the team with ad-hoc compliance issues.
You would demonstrate deep understanding of global markets trading flow and practices and have meaningful compliance experience in a bank.
You are a degree holder in Accounting, Law or related disciplines.
You possess a minimum of 6 years product compliance experience in a global investment bank.
You possess in-depth products/market knowledge of equities and/or listed derivatives.
Ability to independently drive responses to regulatory/exchange compliance issues/queries.
You have solid awareness of controls and governance.
You are self-motivated, a team-player and results oriented.
You have the capability to work in partnership with business, shared services and other members in Legal and Compliance in the region.
Your structured product knowledge is an asset.
You should have experience dealing with front office.
Ability to learn quickly and handle multiple demands.
Strong problem solving skills, analytical skills and organizational skills.