(Senior) Compliance Manager - Financial Markets Compliance
Core
Provide regulatory advice to financial markets business lines, review product due diligence, and ensure compliance with group and regulatory requirements.
Role type
Senior Compliance Manager (Financial Markets)
Builds
Compliance policies, procedures, and regulatory reporting for financial products and services
Domain
Financial Services / Banking / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance knowledge, product due diligence, policy development, training delivery, licensing and registration support, conduct incident handling, gap analysis, regulatory reporting
Preferred skills
Financial market products knowledge, stakeholder management, project management, analytical problem-solving
Technologies
N/A
Responsibilities
Provide professional regulatory advice to business lines; Support establishment and update of compliance policies; Provide training to business and operation teams; Guide handling of conduct-related incidents; Attend to regulators' enquiries; Keep abreast of legal/regulatory developments and conduct gap analysis; Coordinate submission of information to regulators and parent bank
Seniority
Senior, hands-on IC