Job Description

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  quoting the Job Reference QPD/. Find out more Legal & Compliance job opportunities or information, visit our website