• Negotiable
  • Hong Kong
  • Permanent, Full time
  • Selby Jennings Hong Kong
  • 23 Jan 19

Compliance Officer of Global Markets and ALMT Compliance

  • Location: Hong Kong
  • Salary: Negotiable
  • Job Type: Full time

A top European bank is seeking a Compliance Officer for their Global Markets and Asset Liability Management Treasury Compliance Team for APAC.

Key Responsibilities

Specifically, as an advisor in both the GM Compliance HK and GM (FXLM, Rates, Credit/ALMT) Compliance APAC team, he/she will:

for the local team:

* Monitor the changes and development on relevant local new laws, rules and regulations

* Liaise with local regulators and handles regulatory inquiries, audits, inspections, questionnaires and surveys

* Handle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare various MIS and incident reports

for the regional team:

* Assist in the management of compliance programme, such as review of marketing materials, conflicts identification and mitigation's, follow through of trade surveillance alerts

* Periodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and providing guidance, interpretation and direction to business stakeholders.

* Assist business stakeholders and various compliance teams to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis)

* Assist in the design and establishment of monitoring and control systems, and 2LOD controls in place operate effectively so that compliance related issues are readily identified and remedial actions implemented in order to minimise risk, and taking appropriate steps to improve its effectiveness * Assist in the production of periodic MIS and KPIs as directed

* Assist in the organisation, administration and provision of compliance training for new employees and as well as on-going training for all employees

If you are interested in this position, please contact Nicola Carder, Compliance Recruiter, Selby Jennings, +852-3008-0308