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AVP/VP, Global markets compliance - work life balance

Job description


  • Lead or participate in various compliance projects in relation to Global Markets
  • Review new business and product proposals or transactions; and approve in accordance with delegated authority Respond promptly to enquires on compliance related mater
  • Interact regularly with the Global Markets business covering all asset classes, including Fixed Income, OTC and Listed Equity Derivatives, Trading, Sales and Structured Products
  • Provide support and independent and timely guidance and challenge to the business and other functions on all issues relating to the day-to -day business, new business initiatives, regulatory developments, transactional queries, and proposed material amendments to controls and process flow.
  • Liaise with internal auditors and other control functions on various request in relation to compliance matters.


  • Undergraduate Degree with 5 years or more experience in the Compliance department of financial institutions, international brokers or regulators; with strong knowledge of global market products in APAC
  • Sound understanding of applicable HKMA and SFC rules and regulations
  • Sound know-how of the Investment Bank and Global Markets business and products
  • Strong relationship building, communication, interpersonal skills, and analytical skills

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