Compliance Leadership Executive
2 weeks ago
Client Background:
We are partnering with a leading international bank to seek a Compliance Vice President for FICC Compliance to join their compliance team. This role is crucial in ensuring adherence to regulatory requirements and internal policies for FICC trading operations.
Key Responsibilities:
- Develop and implement comprehensive compliance strategies for FICC trading operations.
- Conduct regular compliance assessments and risk analyses related to FICC products.
- Monitor trading activities to identify and mitigate compliance risks.
- Collaborate with various departments, including trading, legal, and risk management, to ensure adherence to policies and regulations.
- Stay updated on regulatory changes impacting FICC operations in Hong Kong and globally.
- Prepare and deliver compliance reports to senior management and regulatory authorities.
- Train and guide team members on compliance best practices and regulatory requirements.
Requirements:
- Bachelor's degree in Finance, Business Administration, or a related field.
- At least 6 years of relevant experience in FICC compliance or a related area within the banking sector.
- Strong knowledge of local and international regulations (e.g., SFC guidelines).
- Demonstrated ability to manage compliance programs.
- Excellent analytical, problem-solving, and communication skills.
- Proficient in English; proficiency in Cantonese or Mandarin is advantageous.
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