Senior Compliance & Risk Manager - Capital Markets

  • Very Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Wellesley Partners Ltd
  • 29 Mar 18 2018-03-29

My client is one of the Hong Kong's largest banks with retail, corporate and investment banking services. The capital markets team is hiring an experienced compliance individual to sit within the Fixed Income Capital Markets team.


Role:

Reports directly to Head of Fixed Income Capital Markets based in HK

To act as the on point compliance person for the Capital Markets business - this will include providing primary compliance and regulatory risk input for transactional matters across Debt Capital Markets and some Equity Capital Markets deals

To address regulatory enquiris related to matters such as cross-border, registration, licensing, sanctions, use of finders, Client Identification (CID), AML

To set-up requisite procedures, guidelines and policies with the bank's existing compliance and risk team

 

Qualification:

Degree holder

Minimum 10 years product compliance experience (not AML/general compliance)

Hands-on exposure to debt capital markets transactions 

Must have deep understanding of regulatory issues relevant to capital markets  including licensing requirements, applicable securities laws in HK

Good communication skills at various levels of seniority.  Sound judgment and commercial acumen

Excellent fluency in English and Cantonese