CAO - Head of Markets Compliance, Hong Kong - Director
4 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-
Head of Markets Compliance Director
7 days ago
Hong Kong, Central and Western District, Hong Kong SAR China 0786 Deutsche Bank Aktiengesellschaft, Filiale Hongkong Full timeAbout the RoleWe are seeking a highly experienced and skilled Compliance Director to join our team at Deutsche Bank Aktiengesellschaft, Filiale Hongkong. As a key member of our Compliance Department, you will play a critical role in protecting the Bank's licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of...
-
Head of Compliance
5 months ago
Hong Kong, Hong Kong SAR China Interactive Brokers Full timeResponsibilities : Reporting to the Head of Core Compliance-APAC, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including: Being the primary liaison to the SFC exchanges and other regulatory bodies;Researching, interpreting and advising the firm regarding compliance with laws,...
-
Head of Compliance
3 months ago
Hong Kong, Hong Kong SAR China Wise Full timeCompany Description Since 2011, Wise has had a clear mission: money without borders. Built by and for people who live global lives, we’re the fairest, easiest way to manage your money across borders. We’re just at the beginning of our story and we’re growing at an incredible pace. We won’t stop until anyone, anywhere can send, spend and...
-
Assistant Compliance Manager
7 days ago
hong kong, Hong Kong SAR China Bank of China Full timeAssistant / Compliance Manager (Hong Kong Branch) Job No.: 494223Employment Type: Full timeDepartments: Hong Kong BranchJob Functions: Risk Management Bank of China limited first opened its branch office in Hong Kong in 1917. After the listing of BOC Hong Kong (Holdings) Limited, a subsidiary of the Bank, on the Hong Kong Stock Exchange in 2002, Bank of...
-
Compliance Manager
7 days ago
Hong Kong, Central and Western District, Hong Kong SAR China Ebury Full timeAbout EburyEbury is a leading FinTech firm that offers a range of innovative financial solutions, including FX risk management, trade finance, currency accounts, international payments, and API integration.Job SummaryWe are seeking a seasoned Compliance Manager & MLRO to join our team in Hong Kong and China. This critical role requires a deep understanding...
-
Marketing Director, Hong Kong
1 week ago
Hong Kong, Central and Western District, Hong Kong SAR China The LEGO Group Full timeJob OverviewThe LEGO Group is seeking a highly skilled and experienced Marketing Director to lead our marketing efforts in Hong Kong and Taiwan. As a key member of our leadership team, you will be responsible for developing and executing marketing strategies that drive business growth and brand awareness.Key ResponsibilitiesDevelop and implement marketing...
-
Marketing Director, Hong Kong
8 hours ago
Hong Kong, Central and Western District, Hong Kong SAR China The LEGO Group Full timeJob DescriptionLead a Team of Marketing ProfessionalsWe are seeking a highly experienced Marketing Director to lead our team in Hong Kong and Taiwan. As a key member of our Business Unit Leadership Team, you will be responsible for developing and executing marketing strategies to drive business growth and brand awareness.Key ResponsibilitiesDevelop and...
-
Head of Agency Recruitment
2 months ago
Hong Kong, Hong Kong SAR China Hong Kong Job Consulting Full timeA fast-moving local Insurance Group is looking for a high-calibre Head of Agency Recruitment to drive the Agencys Recruitment Targets. Reporting to Chief Agency Officer, the incumbent has to fully execute agency recruitment strategies and initiatives to achieve recruitment targets and oversee the function of Agency Recruitment. Responsibilities: Manage the...
-
Hong Kong, Hong Kong SAR China Société Générale Assurances Full timeHead of Market Risk, APAC Permanent contract|Hong Kong|Risks Head of Market Risk, APAC Hong Kong, Hong Kong Permanent contract Risks Responsibilities The Head of RISQ/ASI/RMA contributes to risk management processes for market activities in Asia-Pacific and validates the adequacy of risks (market, counterparty, liquidity or...
-
Assistant Compliance Manager
1 month ago
Hong Kong, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full timeResponsibilities: Assist Compliance Risk Manager to formulate and update compliance risk and KYC policies and procedures in light of the latest regulatory requirements and market practices Conduct transaction monitoring process. Prepare compliance risk and KYC Management reports. Review Enhanced Due Diligence (EDD) / high risk customer on-boarding cases...
-
Hong Kong, Central and Western District, Hong Kong SAR China Visa Full timeAbout the RoleWe are seeking a highly skilled and experienced professional to lead our government engagement efforts in Hong Kong. As the Head of Government Engagement, you will be responsible for developing and executing a comprehensive government engagement strategy that aligns with Visa's business objectives.Key ResponsibilitiesDevelop and Implement...
-
Head of Compliance – Executive Director
2 weeks ago
hong kong, Hong Kong SAR China HARBRIDGE PARTNERS Full timeResponsibilities: Act as HK Compliance head and oversee compliance activities in HK. Contribute to regional compliance oversight in Australia and Singapore. Work as a senior management and manage a wide range of regulatory matters by providing professional compliance advice to the business function and top management on new business initiatives and...
-
Head of Compliance – Executive Director
2 weeks ago
Hong Kong, Hong Kong SAR China HARBRIDGE PARTNERS Full timeResponsibilities: Act as HK Compliance head and oversee compliance activities in HK. Contribute to regional compliance oversight in Australia and Singapore. Work as a senior management and manage a wide range of regulatory matters by providing professional compliance advice to the business function and top management on new business initiatives and...
-
Hong Kong, Hong Kong SAR China Visa Full timeJob DescriptionTeam SummaryThe Government Engagement (GE) team aims to create broad alignment between Visa’s business objectives and public policies that affect the payments industry. Externally, the GE team engages a wide range of stakeholders from the government and industry associations to raise awareness of and build support for policies that expand...
-
Head of Legal and Compliance
4 months ago
Hong Kong, Hong Kong SAR China ALS International Full timeHead of Legal and Compliance document.title = "Head of Legal and Compliance – ALS Internatioal";var addthis_share = { title: "Head of Legal and Compliance – ALS Internatioal"} Date: Mar 31, 2023 Location: Hong Kong, UK Ref: 20035 Job ID: 20035 Job Location: Hong Kong, UK About Our Client ...
-
Hong Kong, Hong Kong SAR China Société Générale Assurances Full timeVP/Director, Global Markets Risk and Scarce Resources, Asia Pacific Permanent contract|Hong Kong|Risks VP/Director, Global Markets Risk and Scarce Resources, Asia Pacific Hong Kong, Hong Kong Permanent contract Risks Responsibilities Monitor markets, change of policies and events, in particular in Asia, that can affect exposures...
-
Compliance Risk Manager
7 days ago
hong kong, Hong Kong SAR China Bank of China Full timeCompliance Risk Manager (Hong Kong Branch) Job No.: 499171Employment Type: Full timeDepartments: Hong Kong BranchJob Functions: Risk ManagementResponsibilities: Formulate and update compliance risk and KYC policies and procedures in light of the latest regulatory requirements and market practices. Provide advice to frontline and other relevant units on...
-
Deputy Research Director
3 weeks ago
Hong Kong, Hong Kong SAR China Global Sage Hong Kong Full timeReporting to Director of Research, the major responsibilities of the Deputy Director of Research include: To assist the Director of Research in planning and implementation of the research programs, including developing strategic research themes, priorities projects, and overseeing the implementation of research plans, To lead and manage a series of...
-
Team Head, Compliance Testing
3 weeks ago
Hong Kong, Hong Kong SAR China DBS Bank (Hong Kong) Limited Full timeBusiness Function: Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of...
-
Head of Fixed Income Syndicate, Hong Kong
5 months ago
Hong Kong, Hong Kong SAR China Eton Clarke Full timeHead of Fixed Income Syndicate, Hong Kong Eton Clarke has been mandated by a global investment bank in its search for a Head of Fixed Income Syndicate in Hong Kong. The chosen candidate will lead the team covering syndication & distribution of Asia ex-Japan originated DCM products. The ideal candidate will either be operating as a Head of desk...
