Description
We are seeking a Compliance Officer to join our Global Markets Compliance team in Hong Kong. The successful candidate will provide compliance coverage for our Hong Kong Fixed Income Currency (FIC) business, including FX, Credit, Rates, and structured products for institutional and corporate clients.
Key Responsibilities:
- Provide timely compliance and regulatory advice to the business and associated support functions
- Evaluate the applicability of relevant regulations and assess the impact of regulatory change
- Review and sign off new business initiatives, new products, and new transaction approvals and processes from a regulatory perspective
- Deliver training on regulatory requirements and internal policies to business and support staff
- Prepare and review internal reporting to management and regulatory reporting to regulators
- Review and investigate alerts raised by the surveillance team and work with the business to ensure compliance with applicable regulatory requirements
- Provide compliance support on cross-border transactions and business activities
- Assist the business to update relevant business policies and procedures and provide credible challenge to the control framework
- Work on regulatory enquiries, surveys, and inspections related to the business
- Lead or be involved in regional and global initiatives and projects as required
- Participate in industry groups relevant to Markets business topics/issues
Requirements:
- Knowledge of regulatory and compliance requirements, especially those related to Fixed Income
- At least 5 years of relevant experience with a financial institution covering Fixed Income
- Ability to work independently and collaboratively
- Strong analytical skills, detail-oriented, quick study
- Team player
- Excellent verbal and written English skills
- Fluency in Chinese will be an added plus
- Proven ability to leverage AI tools to enhance productivity and optimize workflows
What we offer:
- Competitive salary and non-contributory pension
- 20 days annual leave plus generous number of public holidays
- Life Assurance and Private Healthcare for you and your family
- A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives
- The opportunity to support a wide-ranging CSR program plus take volunteering leave days