Global Markets Compliance

Job Description:

• Provide business compliance advisory and support in daily operations in respect of key laws and regulations that are applicable to the business and operations
• Work with relevant stakeholders (front and back offices) to formulate policy and procedures in managing regulatory and compliance risks in the course of ordinary business
• Establish/update compliance policies and procedures in accordance with regulatory requirements and internal policies
• Advise on new products and services, documentation review, gap analysis, CPT, etc.
• Assist in handling regulatory enquiries, examinations and audits
• Conduct compliance training and briefing as required
• Coordinate with the business and relevant departments across the Bank on new products or initiatives
• Take up ad-hoc assignments as required from time to time

Qualification:

• 3 to 5 years’ experience in compliance or regulatory functions processing a broad knowledge of global market products
• Understanding of key regulatory requirements and expectations in Hong Kong, well-versed in local legal and regulatory requirements including Banking Ordinance, Securities and Futures Ordinance, Code of Banking Practice, Companies Ordinance, Personal Data (Privacy) Ordinance, etc; and basic knowledge in overseas/cross border regulatory requirement
• Good communication skills (oral and written), good interpersonal skills, highly motivated and team player