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VP, Global Markets Advisory Compliance

  • Global Financial Institution
  • Excellent Corporate Culture
  • Asia Pacific Focus

Recognised as one of the world’s leading Financial Institutions, our client offers a full range of products and services across their banking, investing and asset management business units. An excellent opportunity has arisen for an experienced Compliance professional to join the Global Markets Advisory team based in Hong Kong.

The key responsibilities for this position are as follows:

  • Provide advice to front office staff on transactions, business activities and regulatory policy.
  • Ensure adherence to internal policies and procedures in relation to activities.
  • Assess whether specific conduct or activities comply with applicable laws, regulations, market standards and internal policies and procedures.
  • Participate in validation process for new products.
  • Prepare and conduct staff training for the business.
  • Ensure the business has a robust system and set of procedures to comply with regulatory and exchange rules.
  • Liaise with compliance control team on compliance monitoring and review, including transaction monitoring and the prevention of market abuse and pre-trade and post-trade controls.
  • Ensure global markets policies, procedures and guidelines are up to date.

Successful applicants will have the following skills and experience:

  • Degree qualified with at least 8 years of experience with strong compliance experience gained in a leading financial institutional.
  • Strong knowledge of securities regulations and exchange rules for listed and OTC derivatives is essential for this role.
  • Excellent attention to detail.
  • Strong interpersonal skills with the ability to work in a team environment.
  • Outstanding written and verbal communication skills.

Information provided is for recruitment purposes only.

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