Our client is a reputable corporate & investment bank with an in-depth sector-based knowledge. They provide customized solutions to meet the specific needs of companies, financial institutions and institutional investors.
- European Corporate & Investment Bank
- Regional Scope
- New position due to expansion in the region
Reporting to the Regional Head of Compliance, based in HK, you will be fully responsible for:
- Establishing and ensuring adherence to process, policies and procedures to meet compliance and regulatory requirements, in particular for the capital markets activities.
- Supporting and advising the front office and other teams on regulatory and transactional issues and queries
- Enhancing and supporting the control room functions and procedures
- Identifying and responding to ongoing regulatory changes and to implement new policies and procedures where necessary
- Managing work relationships with the regulatory bodies by having an effective communication between business leaders and other functional areas
- Reviewing sales and trading activities and staff conduct
- Supporting staff training and development needs with a focus on capital markets business, particularly the brokerage and trading activities
- Compliance monitoring and review including transaction monitoring, reconciliation and prevention of market abuse