Markets Compliance VP - Hong Kong FIC

About the role

This role provides compliance coverage for the Hong Kong FIC business, including FX, Credit, Rates and structured products for institutional and corporate clients. It reports to the Head of Global Markets Compliance in Hong Kong and supports the Global Markets Compliance team through timely advice, adherence to policies and regulations, control reviews and reporting.

Key responsibilities

• Provide timely compliance and regulatory advice on existing and new Hong Kong rules and regulations, and evaluate the applicability of regulations and the impact of regulatory change
• Assess compliance risks and work with business and support functions to establish and maintain effective control mechanisms
• Review and sign off new business initiatives, new products, new transaction approvals and processes from a regulatory perspective
• Deliver training on regulatory requirements and internal policies to business and support staff
• Prepare and review internal reporting to management and regulatory reporting to regulators
• Review and investigate alerts raised by the surveillance team
• Support cross-border transactions and work with Compliance colleagues across Asia and other regions
• Help update business policies and procedures, and work on regulatory enquiries, surveys and inspections
• Lead or take part in regional and global initiatives and participate in industry groups

Required profile

• At least 5 years of relevant experience in a financial institution covering Fixed Income
• Knowledge of regulatory and compliance requirements, especially those related to Fixed Income
• Excellent verbal and written English; fluency in Chinese is an added plus
• Ability to work independently and collaboratively, with strong analytical skills and attention to detail

Required skills

• Fixed Income regulatory and compliance knowledge
• Ability to leverage AI tools to improve productivity and workflow, with responsible and ethical use of data and AI outputs

What we offer

• Competitive salary and non-contributory pension
• 20 days annual leave plus public holidays
• Life assurance and private healthcare for you and your family
• Retail discounts, gym benefits and wellbeing incentives
• Volunteering leave days and a CSR programme
• Flexible working, coaching, continuous learning and tailored benefits