Deputy Chief Compliance Officer
Hong Kong, Hong Kong | Leading Financial Services Company
Legal / Compliance
Job Description:75 people have viewed this job
Assist to implement and maintain the Compliance Program, standards and policies across the APAC region.
To monitor, track and communicate major proposals and trends on regulatory change and enforcement, including impact analysis. Advise management and key stakeholders on risks and opportunities in this area.
Provide Compliance coverage of the firm’s regulated and electronic trading platforms and products. Includes monitoring system development, alerts and incidents.
Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements. Develop and deliver Compliance training and resources which enhances employee awareness and knowledge.
Provide Compliance advice to the business and support groups to ensure Compliance with regulatory and company requirements and standards.
Coordinate internal audits and regulatory inspections, including responses to regulatory inquiries and surveys.
Handle customer and third party inquiries, managing regulatory considerations effectively.
Assist with the design and oversight of the Compliance document management system.
Implement appropriate compliance controls and tools, including working with Compliance technology support to address any gaps identified.
Collaborate with regional compliance and legal teams, including operations, risk and engineering teams to implement Compliance policies and procedures. Provide input on APAC requirements, risks and opportunities.
Drive and execute key Compliance initiatives and projects.
Represent the Compliance team on global meetings and committees.
Prepare and present periodic reports to management.
You'll Need To Have:
Degree holder, preferably in Law or in a business-related discipline.
At least 8 years of relevant Compliance experience in a regulated financial institution, ideally in a business facing role. Strong knowledge of financial industry rules and regulations.
Good understanding of fixed income products.
Experience in liaising with securities regulators and managing regulatory inquiries, surveys and inspections.
Prior experience developing and conducting training is strongly preferred
Excellent oral and written communication skills.
Strong organizational, analytical and problem solving skills.
Ability to effectively multi-task and prioritise.
Ability to quickly issue-spot and apply sound judgment.
Experience dealing with stakeholders at all levels.