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VP – Fixed Income Compliance

  • Asia Pacific Coverage
  • Top-Tier Financial Institution
  • Excellent Remuneration Package

Recognised as a market leader within Asia Pacific, our client is a global financial institution. Working with a broad range of clients, they offer a diverse selection of products and services across securities, investment banking, wealth management and investment management. A fantastic opportunity has arisen for a talented and motivated Fixed Income Compliance professional to join this dynamic firm.

The key responsibilities for this position are as follows:

  • Provide advice on regulatory compliance issues for the business.
  • Review new business initiatives to ensure compliance with local regulations and global best practice.
  • Ensure compliance policies and procedures are updated with changes in local and regional regulations.
  • Coordinating and liaising with other compliance groups as well as control functions to initiate and deliver control process enhancements where required.
  • Investigate and resolve escalation alerts from compliance surveillance and self-escalations from the business.
  • Liaise with regulators across the region.
  • Preparing and conduction compliance training materials across Asia.

Successful applicants will have the following skills and experience

  • Degree qualified with at least 7 years of fixed income compliance experience gained in a global financial institution.
  • Familiar with sales and trading compliance risks, such as management of conflicts of interest, prohibition of market manipulation and insider dealing, mis-selling.
  • Strong knowledge of regulations across the region including CBRC, PBOC, CSRC, SAFE and HKMA laws.
  • Excellent interpersonal skills with the ability to work in a team environment.
  • Able to think critically about the information presented, comfortable with subjective situations and reading to ask appropriate questions and effectively challenge where needed.
  • Excellent written and verbal communication skills.
  • Fluent in Chinese will be an advantage.

Information provided is for recruitment purposes only.

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