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Executive Director, Global Markets Compliance Advisory, China

• Hong Kong Based
• Leading Financial Institution
• Outstanding Remuneration Package

Our client is a leading Global Financial Institution with an outstanding history of financial success across Asia Pacific. As part of strategic growth, they are seeking a high-calibre Compliance professional to join the team based in Hong Kong.

The key responsibilities for this position are as follows:

• Provide advice on regulatory interpretation and compliance issues in relation to conducting Equities and Fixed Income businesses in China and selected Asian emerging markets.
• Review new business initiatives to ensure compliance with local regulations and global best practice.
• Detailed understanding of both Hong Kong and Mainland China regulatory and compliance environment.
• Work with the Mainland China Compliance team and the business to ensure regulatory obligations and business processes are in compliance with the relevant rules and regulations.
• Develop and deliver the compliance program to the China business including assessment on impact of regulatory requirements.
• Review regulatory and compliance responsibilities and have compliance oversight of the business activities based in Mainland China.
• Develop relations with appropriate regulatory bodies with a focus on regulators in Mainland China to effectively communicate regulatory concerns, monitor the business regulatory commitments and manage communications across the business.
• Lead the compliance monitoring programme to ensure the business is complying with regulatory obligations and relevant rules and regulations.
• Prepare and deliver compliance training to the business.

Successful applicants will have the following skills and experience:

• Degree qualified with at least 12 years of compliance gained in a leading financial institution.
• Strong knowledge of Mainland China and Hong Kong regulatory rules and regulations are essential.
• Detailed knowledge of regulations relating to securities, derivatives and commodities markets.
• Sound understanding of PRC foreign investor access channels including China Qualified Foreign Institutional Investors (QFI), China Connect program, China Interbank Bond Market (CIBM) and Bond Connect.
• Proactive attitude with the ability to work under pressure.
• Outstanding interpersonal and communication skills.
• Able to demonstrate strong leadership experience.
• Strong command of written and spoken English and Chinese (including Putonghua).

Information provided is for recruitment purposes only.

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