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Job Description

Global Investment Bank who provide a full suite of financial products and services, from banking and investments to asset and risk management, are seeking a seasoned compliance professional with FICC expertise.

The Compliance Director is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit (“FLU”) and Control Function (“CF”) performance and any related third party/vendor relationships in alignment with the Compliance Risk Management (“CRM”) Program and the Global Compliance Enterprise Policy (GC Policy).  This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CRM Program objectives, balancing business strategy with appropriate controls.

As Compliance Director this role sits within the FICC Compliance coverage area and will report to the Head of FICC Compliance for APAC

Key responsibilities

The Compliance Manager is accountable for contribution to the requirements in the GC Policy aligned to compliance officers, including but not limited to the following activities:

  • Assist the Compliance Executive in maintaining and communicating regulatory changes, advising and directing business leaders to ensure that regulatory requirements are addressed in their respective process and controls so that their day to day activities operate in a compliant manner.
  • Engage other compliance officers, Enterprise Areas of Coverage roles, and horizontal function roles to provide oversight of FLU and CF activities.
  • Conduct compliance risk assessments of FLU and CF.
  • Contribute to monitoring and testing coverage plans and related metrics for Front Line Unit (“FLU”) or Control Function (“CF”).
  • Monitor and test the effectiveness of the front line unit and control function compliance risk controls.
  • Identify aggregate, report and escalate compliance risks, issues and control enhancements.
  • Execute governance and management routines.
  • Identify compliance training needs, provide subject matter expertise to support development of training curriculum, and inspect FLU/CF and third party participation.
  • Assist business leaders in preparations for regulatory exams and audits for FLU/CF and related Enterprise Areas of Coverage.
  • Provide subject matter expertise to relevant country compliance officers and oversight of the implementation of the CRM Program.

Key requirements

  • Bachelor degree holder or equivalent educational experience
  • Minimum 7 to 10 years’ experience working in global investment bank
  • Excellent knowledge of Hong Kong SFC/HKMA rules and regulations within the compliance function
  • Knowledge of global regulatory initiatives and in particular the G20 reforms preferred.
  • Ability to multi-task and independently drive responses to regulatory/exchange compliance issues/queries
  • Solid awareness of controls and governance
  • Self-motivated, a team player and results orientated
  • Ability to work in partnership with business, shared services and other members in Legal and Compliance in the region
  • Outstanding interpersonal and communication skills. 

If you are interested in this role please apply below or contact me for more information.