Compliance Leadership Executive

2 weeks ago


Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

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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