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Compliance Director - Equities/FICC

Key Responsibilities

Deliver real-time regulatory compliance guidance to the trading floor at both local and regional levels.
Act as the primary contact for business units on product compliance issues, providing advisory support.
Monitor regulatory developments and trends to ensure compliance with new or amended regulations.
Develop and oversee compliance monitoring programs, conducting periodic desk reviews.
Offer regulatory compliance advice and approval for cross-border activities.
Analyze regulatory changes, assess their impact on business processes, and update compliance policies and procedures accordingly.
Train front office staff on new policies and procedures and assist in developing implementation strategies.
Maintain cooperative relationships with government policymakers, regulatory agencies, and self-regulatory bodies.
Assist in ad-hoc investigations, including data gathering, analysis, and documentation.
Collaborate with Legal, New Products, Controllers, Operations, Risk, IT, and other departments to establish controls and policies for new businesses.
Knowledge of Japanese regulatory regimes (MNPI, FW, COI, Mass holding) is a plus.

Complete all compliance and risk awareness training and fulfill compliance responsibilities.
Adhere to company policies, procedures, and regulations (e.g., avoid unauthorized use of confidential information, comply with dress code, refrain from accepting personal benefits/gifts/entertainment from clients without permission, and avoid unauthorized securities dealings).
Promptly report all incidents.

Requirements

University degree in finance, business, accounting, legal administration, or a related field.
Minimum of 7 years of compliance experience in major investment banks or securities firms.

Understanding of key regulators in Hong Kong, their policies, and expectations; ability to assess the impact of overseas regulatory developments.
Strong analytical skills for reviewing data/situations and addressing issues promptly.
Deep knowledge of global macroeconomics, politics, and socio-cultural trends.

Excellent interpersonal and communication skills; a collaborative team player.
Strong risk assessment and problem-solving abilities, with a capacity to work independently.
Proficient in time management and project initiation.
Self-driven with a proactive approach to enhancing business processes.
Ability to identify and resolve conflicts of interest.
Capable of handling confidential and sensitive information with discretion.

Talent Job Seeker
Hong Kong
app.general.countries.Hong Kong

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Job ID: 9500265 / Ref: 1c9df40c2727d0e8baf9d67d5709e6db