A leading global financial services organisation is seeking an experienced equity compliance professional to provide compliance and regulatory advice and services primarily to the equities business, both domestically in Hong Kong and across all Asia Pacific countries.
This role will involve liaising closely with business heads and business unit managers, reviewing escalations from surveillance team and handle regulatory enquiries. In addition, you will need to maintain strong relationships with key regulators and exchanges.
Key responsibilities include:
- Represent compliance on the relevant equity business project workstreams providing insightful credible challenge to ensure the new strategies and systems controls are robust
- Drive the further development of consistent first line supervisory controls across the region
- Provide timely advice to markets staff with compliance management oversight legislative and regulatory obligations of the activities conducted within the business
- Participate in compliance risk management projects
- Identify regulatory reform and proposals impacting the business and drive business to complete required actions
- Involve in compliance project work related to market conduct initiatives such as policies, training etc.
- Assist in internal investigations and/or responses to regulatory enquiries and audits/auditor enquiries
- Identify areas of non-compliance and drive changes (if any) or enhancements to overall business control framework
- Analyse and help answer all escalations arising from the monitoring and surveillance programs relevant to the activities of the equities business and, if necessary, supplement with ad hoc desk reviews, maintaining detailed records of findings and action items
- Assist in the development to upgrade existing compliance reporting to the business to help enable the business to better understand their areas of key compliance and conduct risk
- Develop and execute regional compliance training programs for the business
Experience required:
- 7 years plus equities compliance experience working within a global banking environment
- Working knowledge of relevant financial markets regulatory requirements
- Product knowledge in the markets space
- Ability to work independently, initiate actions and complete tasks with limited direction
- Ability to work effectively as a team member liaising closely with other compliance managers
- Sound verbal and written communication skills
- Demonstrated ability to work closely and co-operatively with compliance manager and businesses
- Strong planning and organisation skills
- Demonstrated ability to implement programs/undertake tasks within agreed timeframes
