Deputy Chief Compliance Officer

  • 850,000 Per Year Plus Bonus
  • Hong Kong
  • Permanent, Full time
  • Amoria Bond
  • 13 Nov 18

Assist to implement and maintain the Compliance Policies, Standards and Policies across the APAC region.

Acting as the Deputy Head of Compliance, you will report to the Head of Compliance for APAC, and will be responsible in overseeing all strategic initiatives on developing improvements in processes, documentation, and due diligence in the region:

Key Responsibilities of the role:

  • Business partner with key stakeholders internally and externally to ensure smooth implementation of continuous improvement projects
  • Ensure compliance with all relevant regulations and requirements regionally
  • Conduct periodic process, transactional, and safety audits and validations
  • Review and approve all periodic compliance reports
  • Address all communications, queries, and audits from local government authorities
  • Implement appropriate compliance controls and tools, including working with Compliance technology support to address any gaps identified.
  • Collaborate with regional compliance and legal teams, including operations, risk and engineering teams to implement Compliance policies and procedures. Provide input on APAC requirements, risks and opportunities.
  • Drive and execute key Compliance initiatives and projects.
  • Represent the Compliance team on global meetings and committees.


Requirements:

  • Minimally possessing a Bachelor of International Business, Finance or related discipline preferred
  • Minimum 10 years’ of experience effectively managing compliance processes, and regulations in the APAC region.
  • Excellent written and verbal communication skills
  • Effective problem solving skills and ability to partner closely with internal key stakeholders
  • Experience working with key regulators in APAC, e.g. MAS, ASIC, HKSFC.
  • Good understanding of electronic trading platforms and operations.
  • Good understanding of fixed income products.