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VP, FICC Compliance

  • Location: Hong Kong
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Legal & Compliance
  • Contact: Calvin Chan
  • Expiry Date: 22 December 2022
  • Job Ref: JN -112022-475511

My client, one of the major investment banks in Hong Kong is looking for a VP, FICC Compliance for its FICC sales and trading business activities conducted from hong Kong.

  • Provide regulatory advice to the sales and trading business units with primary responsibility for the FICC (Fixed Income, Currencies and Commodities) Department
  • Maintain and update all relevant compliance manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards
  • Provide compliance training to business units and infrastructure support functions
  • Help manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive
  • Degree holder with at least 6 years of relevant experience in financial institutions and/or regulatory authorities
  • Strong financial services compliance or regulatory legal background
  • Excellent knowledge of FICC products and related regulations.
  • Prior experience in providing in-house compliance or regulatory legal coverage for securities sales and trading business is an advantage
  • Excellent verbal and written communication skills in English and Chinese

Please feel free to contact Calvin Chan at for more information or apply for the job.

Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.