Compliance Product Officer - Ficc, VP
Hong Kong, Hong Kong | Leading Financial Services Company
Legal / Compliance
Job Description:69 people have viewed this job
Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
Providing guidance on rules and regulations relating to business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported business/product.
Supporting the business/product in performing timely compliance reviews of new products.
Assisting in the development and administration of Compliance training for the supported business/product.
Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
Additional duties as assigned
Required: Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements
Preferred: MBA or JD a plus
Knowledge and skills:
Knowledge of Compliance laws, rules, regulations, risks and typologies, in particular on the Hong Kong regulatory framework and Asia Pacific in relation to fixed income business
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Strong written and verbal communication and interpersonal skills
Ability to both work collaboratively and independently; ability to navigate a complex organization
Advanced analytical skills
Ability to both work independently and collaborate with team members
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Demonstrated knowledge in area of focus