FICC Compliance

A growing fintech firm in Hong Kong seeks a compliance officer with strong FICC product knowledge and at least 7 years of relevant experience in securities firms or banks. The role involves providing regulatory compliance guidance and advice to the trading floor, monitoring evolving regulations, and coordinating with different departments. The ideal...

Responsibilities Drive sales of non-flow FICC solutions (structured products, bespoke hedging, and investment solutions) to Chinese financial institutions, primarily banks and securities firms. Originate and execute tailored solutions addressing client-specific needs across rates, credit, and FX. Build and maintain strong relationships with senior...

Fund Manager - Fixed Income, Currencies & Commodities (FICC) Position Overview We are seeking a seasoned FICC Fund Manager to manage and grow a dedicated portfolio with a strong focus on Asian credit, rates, and currencies. The ideal candidate will possess a proven track record of generating alpha through active management across both investment-grade and...

A leading finance recruitment firm is seeking a Director for FICC sales in Hong Kong. The role involves driving sales of non-flow solutions to Chinese financial institutions, maintaining strong relationships, and ensuring compliance with regulatory standards. Candidates should have 10+ years of experience, deep product knowledge in finance, excellent...

A financial services firm located in Hong Kong is seeking a Compliance Officer to oversee compliance for its Equities, FICC, and Wealth Management businesses. The ideal candidate should have at least three years of relevant experience in a compliance role within a financial institution, alongside strong analytical and communication skills. Responsibilities...

Compliance Officer (Secondary Markets Compliance) China International Capital Corporation (International) Ltd Reporting to the Head of Secondary Markets Compliance, the right incumbent will be responsible for providing compliance coverage to the CICC group of companies (the “Firm”) for its Equities, FICC and Wealth Management business activities...

General compliance work covering business activities such as brokerage, asset management and FICC business Provide sound compliance advice and solutions on internal control and business matters Act as the primary liaison point with regulators and process licensing matters Handle AML/CFT compliance issues and safeguard client on-boarding processes Conduct...

Responsibilities Design, price and distribute cross-asset OTC derivatives (including flow, exotic and structured products) spanning FICC and Equities, customized to meet institutional clients’ investment, financing and risk management objectives, in full compliance with the regulatory framework and prevailing market conventions in Hong Kong. Independently...

Compliance Officer, Market Surveillance Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped QRT’s...

Introduction Since 1973, East West Bank has served as a pathway to success. With over 110 locations across the U.S. and Asia, we are the premier financial bridge between the East and West. Our teams of experienced, multi-cultural professionals help guide businesses and community members on both sides of the Pacific looking to explore new markets and create...