Compliance Manager, Fixed Income
Level: AVP
Client: Hong Kong Investment Bank
Location: Hong Kong
Position Description
Based in Hong Kong and reporting to the Head of FICC Compliance, this role will provide compliance assistance to the organisations Fixed Income business, covering businesses including but not limited to FX and Rates, Credit Trading, Commodity, Structuring Products, Principal Investment and Structuring Finance.
The job incumbent is expected to help raise compliance awareness and standards across the business units in the coverage areas, ensuring consistence where appropriate of compliance processes and controls.
Key Areas of Responsibility
• Carry out day to day compliance support to the FICC business.
• Provide advice on regulatory interpretation and issues on a wide range of compliance related matters.
• Participate and review new business and infrastructure initiatives from a local and international regulatory,
best practice and Firm perspective.
• Review compliance policies and procedures, manuals to ensure appropriate policies and procedures are
revised and updated for FICC business. Draft new manuals, policies and procedures in light of regulatory or
business changes.
• Assist with preparing and filing relevant regulatory reports.
• Develop, implement and provide training on regulatory requirements or compliance issues.
• Maintain compliance oversight and conduct compliance analysis.
• Conduct internal review, investigation and self-assessment as needed.
Requirements:
• Degree holder, preferably in Law, Accounting or related discipline.
• Minimum 5 years of experience in a leading financial institution or renowned law firm or regulatory bodies,
preferably in FICC Advisory Compliance role.
• Good understanding of regulatory framework and compliance issues.
• Ability to exercise sound judgement in identifying risks and manage execution under pressure.
• Good communication and interpersonal skill, and have the ability to think out of the box.
• Strong analytical skills, details-oriented, self-motivated and good team player.
• Fluent in English. Fluent in Mandarin is an advantage.