CAO - Head of Markets Compliance, Hong Kong - Director
7 months ago
Description
:Details of the Division and Team:
The Compliance Department seeks to protect the Bank’s licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct / ethics in connection with the Bank’s regulated activities. Compliance also take a leading role in driving a culture of compliance and ethical conduct in the Bank.
This role will report to the APAC Head of CB & IB Compliance functionally and locally to the Head of HK Compliance. The position is responsible for all Business Line Compliance Markets staff in HK that is providing day to day guidance, challenge and support to the Markets businesses based in HK. In addition, the position is responsible for managing the completion of the Emden project in APAC as it pertains to managing regulatory and compliance matters for this area.
The Markets Division provides sales and trading services across a range of client types and products including, credit, rates, foreign exchange, research sales, listed /OTC derivatives and Credit/Structured lending. The Markets Business provides services across all countries in APAC.
What we will offer you:
A healthy, engaged and well-supported workforce is better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and wellbeing at its center.
You can expect:
Competitive Salary and non-contributory pension 25 days annual leave plus generous number of public holidays Life Assurance and Private Healthcare for you and your family A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives The opportunity to support a wide ranging CSR program plus take volunteering leave daysYour key responsibilities:
Provide day to day and strategic leadership and direction to the Compliance Programme within Hong Kong Markets. The priority objective being to promote an environment that fosters constructive challenge and behavioral change to meet DB, regulatory and market standards. Ensure timely escalation of material matters that impact Markets Hong Kong to the APAC Head of Markets Compliance and the APAC Head of CB & IB Compliance. Work with stakeholders to ensure the framework of policies, procedures, training, risk assessment, control environment, testing and surveillance are sufficiently comprehensive, up to date and effective. Provide guidance and support to the product Business Line Compliance teams and senior management within the businesses as appropriate. Further increase awareness across the Businesses and Compliance in the region to ensure increase in knowledge and consistency in approach. Co-ordinate with regional peers to assure the consistency of the programme and awareness of emerging risks. Lead implementation of regulatory change programmes and projects within Compliance and the businesses. Manage Compliance related books of work to support remediation initiatives. Provide leadership and assistance on ad hoc investigations and regulatory enquiries. Provide subject matter expertise on Markets issues to the Central Compliance teams and Country Compliance Officers as appropriate. Manage and run global/ regional monitoring and testing programs under HK and report findings as required under the Program. Work closely with the business leads to ensure key risks and emerging are regularly reassessed, well understood within the businesses and mitigation initiatives on track. Manage performance standards within the Business Line Compliance teams against agreed targets, strategy and objectives. Assess ongoing resource needs with business leads and Compliance management and undertake recruitment as necessary. Including succession planning for the overall team. Promote the career development of team members through active assessment of technical and non-technical skills.Your skills and experience:
Significant experience (minimum 10 years) in senior Compliance advisory roles, ideally spanning a wide range of Markets products at a major investment bank(s). Strong interpersonal and people management skill with proven experience of working with senior business leaders and providing guidance in ‘live’ business environments. Ability to negotiate and influence at all levels including within DB and the industry. A strong track record of delivery on regulatory change programmes and major Compliance projects. Educated to degree standard or a proven track record in the industry. Supports the development of an environment where people management and development is the number one priority. Coaches direct reports and others in the organisation, as appropriate Actively supports the business strategy, plans and values, contributing to the achievement of a high performance culture Takes ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution Acts as a role model for new employees, providing help and support to facilitate early integration and assimilation of their new environment Supports tough people decisions to ensure people performance is aligned with organisation imperatives and needs. Addresses individual performance issues, where necessary, to drive for high performanceHow we’ll support you:
Flexible working to assist you balance your personal priorities Coaching and support from experts in your team A culture of continuous learning to aid progression A range of flexible benefits that you can tailor to suit your needs Training and development to help you excel in your career-
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