LMA Recruitment

Hong Kong
Posted 2 months ago

Senior Compliance Officer –Global Market Compliance- up to HK$1.8M base

Reporting into the Regional Head of Global Market Compliance 

Key Areas of Responsibility

  • Carry out day to day compliance support to the FICC business.
  • Provide advice on regulatory interpretation and issues on a wide range of compliance related matters.
  • Participate and review new business and infrastructure initiatives from a local and international regulatory, best practice and Firm perspective.
  • Review compliance policies and procedures, manuals to ensure appropriate policies and procedures are revised and updated for FICC business. Draft new manuals, policies and procedures in light of regulatory or business changes.
  • Assist with preparing and filing relevant regulatory reports.
  • Develop, implement and provide training on regulatory requirements or compliance issues.
  • Maintain compliance oversight and conduct compliance analysis.
  • Conduct internal review, investigation and self-assessment as needed.


  • Degree holder, preferably in Law, Accounting or related discipline.
  • Minimum 8 to 10 years of experience in the Compliance department of financial institutions, international brokers or securities regulators; with strong knowledge of equities/prime products in APAC, preferably with advisory experience
  • Ability to exercise sound judgement in identifying risks and manage execution under pressure.
  • Good communication and interpersonal skill, and have the ability to think out of the box.
  • Strong analytical skills, details-oriented, self-motivated and good team player
  • Good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces

Interested applicants please apply to gina.hui@lmarecruitment.com

EA Reg no: R2196467

Company Reg No.: 201131609D

Licence No.: 11C4684

Job Features

Job CategorySales & Marketing

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