Fixed Income Compliance - Vice President
Core
Provide compliance advice, guidance, and challenge to the Fixed Income Division's sales and trading business across seven Asian jurisdictions, focusing on foreign exchange, interest rate, credit, and commodity products.
Role type
Vice President, Fixed Income Compliance
Builds
Regulatory compliance framework and risk management for Asia FID sales and trading activities
Domain
Financial Services / Fixed Income / Asian Markets
Deliverable
dashboards & analysis
Required skills
Knowledge of FX, interest rate, credit, and commodity products; Sales & Trading practices; Asian market regulatory regimes (Hong Kong, Mainland China); Compliance policy interpretation; Risk identification and resolution; Data analysis; Training design and delivery; Regulatory audit coordination
Preferred skills
Understanding of foreign investor access regimes for Mainland China (QFI, CIBM Direct, Bond Connect)
Technologies
Compliance management systems (implied via policy implementation and surveillance)
Responsibilities
Provide oral and written advice on compliance policies and regulations; Participate in New Product Approval processes; Engage with FID desks for regulatory support; Create and implement new compliance policies; Design and deliver compliance training; Guide monitoring and testing reviews; Advise on trade surveillance needs; Assist with regulatory and client enquiries; Coordinate regulatory audits