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Deputy Regional Head of Compliance - ED / MD level



Job Description

about the company

Our client is a non-bank, financial services business with a strong presence in the region.
about the job
  • You will implement and maintain the Compliance Program, standards and policies across the Asia Pacific region
  • Monitor, track and communicate major proposals and trends on regulatory change and enforcement, including impact analysis
  • Provide Compliance coverage of the firm's regulated and electronic trading platforms. Includes monitoring system development, alerts and incidents
  • Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements
  • Develop and deliver Compliance training and resources which enhances employee awareness and knowledge
  • Provide Compliance advice to the business and support groups to ensure Compliance with regulatory and company requirements and standards
skills & experiences required
  • Degree holder, preferably in Law or in a business-related discipline
  • At least 12-18 years of relevant Compliance experience in a regulated financial institution, ideally in a business facing role
  • Strong knowledge of financial industry rules and regulation
  • Ideally with experience working with key regulators in APAC, e.g. MAS, ASIC, HKSFC
  • Experience in liaising with securities regulators and managing regulatory inquiries, surveys and inspections
  • Prior experience developing and conducting training is strongly preferred
  • Excellent oral and written communication skills in English
  • Strong organizational, analytical and problem solving skills.
  • Experience dealing with stakeholders at all levels
  • This role is open to qualified lawyers with strong global markets product knowledge

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: [email redacted, apply via Jobable]

Employment TypeFull-time
Education LevelNone
LanguageEnglish, Cantonese
RandstadHuman Resources and Recruitment

50 Connaught Road Central, 5th Floor, Agricultural Bank of China Tower

directions_walk8 mins walk from Central Station