Fixed Income Compliance - Vice President
Core
Provide compliance advice, guidance, and challenge to the Fixed Income Division business in Asia, supporting sales and trading activities in foreign exchange, interest rate, credit, and commodity products.
Role type
Senior IC compliance officer (Fixed Income)
Builds
Compliance policies, regulatory advice, and risk management support for the Asia FID business
Domain
Financial services, Fixed Income, Asian markets (Hong Kong, Mainland China)
Deliverable
dashboards & analysis
Required skills
Knowledge of FX, interest rate, credit, and commodity products, understanding of Sales & Trading practices, knowledge of Hong Kong and Mainland China regulatory regimes, ability to review and analyze data/scenarios, strong analytical skills, detail-oriented, proficient time management
Preferred skills
Understanding of foreign investor access regimes for Mainland China (QFI, CIBM Direct, Bond Connect), fluency in Mandarin
Technologies
None stated
Responsibilities
Provide oral and written general and transactional advice on compliance policies and regulations, participate in the New Product Approval process, proactively engage with FID desks for regulatory advice, assist in the creation and implementation of new policies and procedures, participate in strategic projects with regional and global legal and compliance professionals, design and deliver training on compliance topics, advise the monitoring and testing team on reviews and risk identification, work with the surveillance team on trade surveillance needs, assist with regulatory and client enquiries, coordinate regulatory audits and visits
Seniority
Senior, hands-on IC