Global Markets Compliance, Contract Global Markets Compliance, Contract …

Resource Solutions.
in Hong Kong
Contract, Full time
Last application, 19 Nov 20
Resource Solutions.
in Hong Kong
Contract, Full time
Last application, 19 Nov 20
Our Top Tier, Corporate and Investment Banking Client has an exciting new role within the Global Markets Transversal Compliance team. The successful candidate will be part of the GM Compliance team based in Hong Kong. This will be a key role in the Regional Global Markets Compliance Governance Model and a senior member of the regional compliance team.

The succesful imcumbent will be supporting the Prime Solutions and Financing (PS&F) Compliance lead in APAC, coordinate all advisory-related activities and action plans in relation to PS&F, and work closely with various dedicated Global Markets Compliance teams in the region.

Responsible for closely liaising with and keep regularly informed the relevant business seniors, and country Compliance heads in countries where PS&F is important, particularly the hubs of Hong Kong, Singapore and Japan.  The main business lines covered will include all business desks within PS&F. 

Key Responsibilities:

  • Provide compliance advisory services to Global Markets front, middle and back office on regulatory and compliance issues, with specific focus on Equity Prime Solutions
  • Key focus will be on the project to transition equity prime business across to our Client's platform.
  • Key areas will include pre-trade controls, electronic execution, algos, dark pools and other venues, short selling controls, aggregation units.
  • Advise business on relevant new laws, rules and regulations in the  APAC and other regions
  • Identify, manage and control compliance, regulatory and reputational risks
  • Work independently in various local compliance projects
  • Liaise closely with country compliance and business management in APAC concerning the necessary coordination of compliance actions and reporting
  • Work closely with the business and country compliance officers in the APAC region to advise on cross border activities or projects
  • Assist rolling out or implementing global or regional policies and procedures for Global Markets business and ensure compliance thereof.


  • Undergraduate Degree with 5-8 years or more experience in the compliance department of financial institutions, international brokers or securities regulators; with strong knowledge of prime/equities products in both APAC region, preferably with advisory experience.
  • The candidate should have a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces.
  • Strong knowledge of regulatory and compliance requirements in both APAC and Global regions – particularly focused on Equity Prime Solutions
  • Strong interpersonal skills, with the ability to communicate and consult clearly at all levels -  business, management and other support functions
  • Strong leadership skills and extensive experience in running a Compliance team
  • Knowledge of risk and control framework or procedure of a financial institution
  • Strong analytical and problem solving skills
  • Able to work independently adopting a hands-on approach
  • Ability to handle multi-tasking


About Our Client

Our client is a prestigious international bank with a long history of providing corporate banking solutions to businesses and to large local companies, financial institutions and multinationals. We look for talented, tenacious individuals who are hungry to progress and eager to grow their knowledge.


Values and Diversity

Dynamic working gives everyone at our client the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.  They are an equal opportunity employer and are opposed to discrimination on any grounds. It is the policy of our client to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

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