Key Responsibilities

• Conduct monitoring and surveillance against Global Markets activities
• Provide compliance advice to the business to ensure full compliance with regulatory requirements and internal standards.
• Review policies, procedures, marketing materials, new product proposals and customer correspondence, as well as carry out compliance review.
• Execute compliance plan, support local compliance related risk assessments, ensuring that they are completed effectively, with monitoring plans prepared and executed.
• Study the new regulations issued by regulatory bodies and assist in fostering the compliance culture of the Bank.

Key Requirements

• Minimum of 5-7 years' experience in compliance, audit or risk management field in financial services industry, with exposure to the global markets activities or monitoring and surveillance an advantage.
• Good knowledge of rules, regulations and statutory requirements from the Hong Kong Monetary Authority and the Securities and Futures Commission.
• Fluent English, Cantonese, and Mandarin

If you would like to apply for this role or find out more, please contact Megan Craighead at Robert Walters on megan.craighead@robertwalters.com.hk  quoting the Job Reference QPD/. Find out more Legal & Compliance job opportunities or information, visit our website www.robertwalters.com.hk.