Markets Compliance - Compliance Officer

Job purpose:

The candidate will be part of the Markets Compliance team, which provide compliance advisory and oversight to the Markets business and act as the trusted partner to the front office while ensuring adherence to regulatory requirements, global policy requirements and conduct standards.

Markets Compliance team's activities include:

• Compliance Advisory

Provide compliance advisory to Business and Support Functions on markets compliance related requirements and regulatory changes (including new business and product initiatives)

• Compliance Monitoring and Surveillance

- Perform compliance monitoring and surveillance of employees communications, trades and personal account dealing (PAD) activities.

- With the support of Head Office Compliance Control Room, provide guidance to front-office and support functions in relation to control room protocol and handling of MNPI/ confidential information

• Central Compliance

- Managing employee licensing and registration

- Conduct monthly new joiner and annual markets compliance training

- Conduct compliance desk reviews as may be required, based on global policy requirements, emerging risks or new regulatory requirements

Key activities:

We are looking for a suitable candidate with global markets compliance advisory experience who can support the team on compliance advisory, compliance monitoring and surveillance and central compliance matters.

The candidate is expected to

• Provide regulatory and compliance advisory support to the Global Markets business across products and activities (including review of new business and product initiatives)
• Play a key role in enhancing the Bank's Personal Account Dealing (PAD) framework, with a significant focus on PAD oversight and process optimisation during the initial phase, including involvement in ongoing automation initiatives (StarCompliance). He/ She will also support PAD-related governance, monitoring, and control activities.
• Be the secondary coverage for communications and trade monitoring and surveillance controls and investigations.
• Lead or support compliance desk reviews as may be required

Formal education:

Degree in Accountancy, Banking, Finance, Business or relevant professional qualifications.

Specialist knowledge (work experience, further qualification):

Work Experience

• At least 5 - 8 years of experience in regulatory/compliance advisory roles in a financial institution, preferably at banks.
• Sound understanding of the regulatory landscape and relevant laws and regulations including Securities and Futures Act, Financial Advisers Act, Banking Act, Blue Book and other market compliance related requirements.

Relevant skills or Characteristics:

• Highly motivated, meticulous and proactive team player
• Effective communication skills with proven experience in managing stakeholders across various seniority level
• Ability to work independently and provide pragmatic compliance advice and solutions