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Markets and Securities Services, VP

Hong Kong, Hong Kong | Leading Financial Services Company

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Risk Management
  • Experience:
Job Description:
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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 function/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 function/business/product.

Supporting the function/business/product in performing timely compliance reviews of new products.

Assisting in the development and administration of Compliance training for the supported function/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

Qualifications

Education Level and relevant experience:

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

Required: 

Knowledge of Compliance laws, rules, regulations, risks and typologies

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


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