Oct 19, 2017
- To provide compliance support to Capital Markets HK FICC and GELP businesses and to work with the Wealth Management Compliance team to provide compliance support to Wealth Management HK brokerage business.
- To prepare relevant compliance policies and procedures for the businesses.
- To review regulatory rule changes issued by relevant regulators, exchanges, and other regulatory bodies and amend procedures where necessary.
- To liaise where necessary with the relevant regulatory bodies and exchanges in relation to any queries raised by such bodies or to request guidance on any matters.
- Participate as required in internal investigations into potential breaches of regulatory requirements or firm policy.
To assist assessments in any new initiatives undertaken by businesses by advising on any applicable regulatory requirements that may have an impact on such initiatives. This includes reviewing, advising on and drafting appropriate text from a compliance perspective for New Business Committee proposals.
To provide pro-active, timely advice on the relevant regulatory and firm policy requirements in respect of ad hoc queries, specific transactions, new product initiatives etc.
To promote observance of high standards of business conduct and ethical standards.
To conduct monitoring and testing on covered businesses.
To update the Regulatory Compliance Management tools and Issue Track when required.
To provide training to staff at all levels on the application of the relevant regulations and the standards expected.
To advise and assist Compliance colleagues in different jurisdictions on local regulatory issues or matters relating to cross-border businesses undertaken within the primary areas of responsibility.
To provide training and guidance to junior compliance staff in the team.
To provide backup support for other team members in HK.
To take up any ad hoc projects or tasks as assigned by the management of Compliance Team from time to time.
- Good knowledge of regulatory framework including cross-border implications.
- In-depth knowledge of HKMA, SFC and APAC exchanges rules and regulations.
- Good knowledge of Global Markets products and their risk management policies and processes Good organisational and communication skills.
- Ability to work well in a team and build relationships at all levels of the bank.
- Ability to conduct duties expediently with the minimum of supervision.
- Aptitude for accuracy, attention to detail, and hands-on approach.
- Good computer literacy, knowledge of Word, Excel, PowerPoint, and Outlook essential.