Description
We are seeking a Compliance Officer to join our Global Markets Compliance team in Hong Kong. As a Compliance Officer, you will provide professional, timely advice and guidance to the business, ensure adherence to Bank policies and procedures, and relevant legal/regulatory frameworks, review and monitor existing controls, perform risk assessments, and prepare reports for business, Compliance management, and regulators.
Key Responsibilities:
- Provide compliance coverage for HK FIC business, including FX, Credit, Rates, and structured products
- Offer timely compliance and regulatory advice for businesses and associated support functions
- Evaluate the applicability of relevant regulations, identify compliance risks, and assess the impact of regulatory change
- Review and sign off new business initiatives, new product 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
- Provide compliance support on cross-border transactions and business activities
- Assist the business to update relevant business policies and procedures
- Work on regulatory enquiries, surveys, and inspections related to the businesses
- Lead or be involved in regional and global initiatives and projects as required
- Participate in industry groups relevant to Markets business topics/issues
Requirements:
- At least 5 years of relevant experience with a financial institution covering Fixed Income
- Knowledge of regulatory and compliance requirements, especially those related to Fixed Income
- Strong analytical skills, detail-oriented, quick study
- Excellent verbal and written English skills
- Fluency in Chinese will be an added plus
- Proven ability to leverage AI tools to enhance productivity
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
- Flexible working to assist you balance your personal priorities
- Coaching and support from experts in your team
- A culture of continuous learning to aid progression
- Training and development to help you excel in your career