Our team ensures that all trading activities adhere to regulatory and internal policies whilst mitigating risks associated with market integrity. We monitor transactions and provide guidance on compliance issues whilst collaborating with various stakeholders to promote a culture of ethical practices within the organization.
As a Fixed Income - Compliance, Associate in a line of business Compliance team covering Fixed Income, Currency and Commodities (FICC) , you will be centrally involved in all aspects of the financial product sales and trading. You will work as part of a team that provide credible challenges and give advice to internal stakeholders on the impact of regulatory requirements. You’ll also provide input on new business strategies, product lines, policies and education, operational processes, risk mitigation and control. This role will have a specific focus on assisting the regional FICC Compliance team covering Credit business, which has its significant presence across Asia locations.
Job responsibilities:
• Ensure compliance coverage responsibility for the FICC business regionally, with a general focus on Credit
• Continuously assess regulatory and compliance risks inherent in existing and proposed business activities and initiate, coordinate and deliver process enhancements where required
• Dealing with regulatory updates, development and inquiries in the region
• Liaising with Global Compliance counterparts in order to communicate APAC issues as well as stay abreast of global initiatives
• Reviewing new products and initiatives from Compliance perspective
• Assisting in the design, development, implementation and ongoing operation of the Compliance program
• Preparing and delivering Compliance training materials across Asia
• Drafting and manage the roll out of Compliance policies, procedures and guidelines and any associated requirements
• Liaising with country and corporate compliance groups as well as other corporate control functions such as Operations, Technology, Finance, Tax and Legal as required
Required qualifications, capabilities, and skills :
• Bachelor’s Degree in Finance, Economics or other related disciplines
• Minimum 5 years of experience within a securities firm, bank or an equivalent financial institution in the Asia Pacific Region, with experience in FICC products
• Familiarity with FICC business and knowledge of related regulations
• Excellent communication, interpersonal and influencing skills, with the ability to establish credibility and partnership with senior business leaders
• Analytical, problem-solving and organizational skills, as well as the ability to manage several simultaneous projects
• Ability to multi-task, prioritize and project manage complex issues
• Ability to work independently and as part of a team
• Inquisitive with a keen eye for detail
To apply for this position, please use the following URL:
https://ars2.equest.com/?response_id=c027ed9747ea6d0866175b6313aaddec
