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野村控股
Global Markets Compliance VP
立即应聘

Global Markets Compliance VP

发布于 大约 16 小时前

高层管理(VP/总经理/CEO)

Central, HK
高级经验
全职员工
仅现场办公
本科
法务、风险与合规
Compliance
English
Ficc
Stakeholder Management
Conduct Risk
Market Abuse

AI 估算 · 120k–200k

香港金融机构合规VP岗位，监管要求高，经验7年以上，薪资竞争力强

职位详情

关于这个职位

This senior compliance role provides end-to-end advisory and regulatory coverage for the FICC sales and trading business in Asia Ex-Japan, working closely with senior stakeholders. You will manage conduct risk, regulatory change projects, and surveillance controls, ensuring the business operates within the evolving regulatory framework. It requires deep expertise in financial markets regulations and strong stakeholder management skills.

最低要求

Bachelor's degree or above in Law, Finance, Business, Economics or a related discipline

Professional qualifications (e.g. legal, compliance, securities markets)
Minimum 7 years of relevant markets compliance experience from sizable international or regional banks, securities firms or regulators, with demonstrable exposure to FICC products and sales/trading environments
Deep knowledge of global and AEJ financial markets regulations affecting FICC businesses, such as conduct and market abuse regimes, derivatives and transaction reporting, suitability and distribution rules, and cross-border marketing requirements
Strong stakeholder management skills with the ability to influence and constructively challenge front-office and support functions, manage multiple priorities in a fast-paced environment, and exercise sound judgment under pressure
Proficiency in English and Chinese to support engagement with clients, regulators and internal stakeholders across the region.

工作职责

Provide regional compliance advisory support to AEJ FICC businesses covering sales, trading, and structuring activities

Deliver prompt, pragmatic regulatory advice to front-office staff on the design, execution and documentation of FICC transactions, including secondary market activities, electronic trading, voice trading and complex/structured products
Interpret and communicate the impact of new and existing regulations (e.g. conduct, market abuse, best execution, investor suitability, etc.) on FICC business strategies, client interactions and booking models, and coordinate with Legal where necessary
Participate in new product and business initiative approvals for FICC, assessing regulatory, conduct and reputational risk, challenging structures where appropriate and ensuring that necessary controls, disclosures and approvals are in place before launch
Act as a key point of contact between the FICC business, second-line compliance functions and regulators on all matters relating to market conduct, investor protection, prudential and licensing requirements impacting the business
Lead or support regulatory change projects relevant to FICC (e.g. changes to market integrity, cross-border selling rules, etc.), including gap analysis, control design, implementation and post-implementation review
Work with central compliance, risk and operations to design, calibrate and review surveillance and monitoring controls over FICC trading and communications (e.g. market manipulation, spoofing, information barriers, conflicts of interest and suitability), escalating and remediating issues as required
Contribute to periodic compliance risk assessments for the FICC businesses, documenting inherent and residual risks, control effectiveness and remediation plans, and presenting results to relevant governance committees
Support the AEJ Head of Business Compliance in maintaining an effective compliance framework, including policies, surveillance, training and governance specific to FICC activities in the region
Act as a day-to-day interface with relevant regulatory compliance team on FICC-related inquiries, thematic reviews, examinations and audits, coordinating information requests, responses and remediation actions with business and support functions
Prepare and deliver regular compliance reporting and management information for senior management and risk committees, including key risk indicators, incident trends, regulatory developments and status of remediation items in the FICC area
Develop and deliver targeted training to front-office and support staff on regulatory requirements, internal policies and expected behaviors relating to FICC products and markets, reinforcing a strong conduct and control culture

AI 洞察

优缺点分析

优点

  • High visibility and interaction with senior business leaders and regulators.
  • Exposure to complex FICC products and cutting-edge regulatory issues.
  • Competitive compensation and benefits in a global top-tier bank.
  • Strong career development in a specialized, high-demand field.
  • Fast-paced environment with significant regulatory pressure and tight deadlines.
  • Requires balancing business needs with strict compliance standards, sometimes facing resistance.
  • High level of responsibility
  • mistakes can have serious regulatory consequences.
  • This role is ideal for a seasoned compliance professional with FICC expertise who thrives on regulatory complexity and enjoys influencing business decisions in a dynamic environment.

缺点 / 挑战

暂无明显挑战项

角色解读

  • Progression to Head of Business Compliance or Regional Compliance Director.
  • Opportunity to expand into broader wholesale compliance coverage.
  • Move to senior roles in risk management or regulatory affairs at financial institutions.
  • Provide regulatory advice to FICC trading desks on transaction structuring and execution.
  • Lead regulatory change projects and implement new compliance controls.
  • Design and review surveillance systems for market abuse and conduct risks.
  • Act as liaison with regulators and prepare compliance reporting for senior management.
  • Deep knowledge of global and AEJ financial regulations (e.g. MIFID, MAR, SFC rules).
  • Strong stakeholder management and ability to challenge front-office constructively.
  • Excellent bilingual communication skills (English and Chinese).
  • Experience in FICC product compliance within a large bank or regulator.

申请策略

  • Research Nomura’s recent regulatory developments in Asia and align your experience.
  • Prepare examples of advising on complex transactions and handling regulatory inquiries.
  • Emphasize specific FICC product compliance experience and regulatory change projects.
  • Highlight demonstrable stakeholder management and advisory outcomes.
  • Include professional qualifications (e.g., CFA, FRM, legal licenses).
  • Showcase bilingual proficiency and cross-cultural engagement.
  • Deepen knowledge of AEJ-specific regulations (HK SFC, MAS, ASIC).
  • Familiarize with electronic trading and surveillance tools (e.g., Bloomberg, NICE).

面试指南

  • Use the STAR method: Situation, Task, Action, Result, with emphasis on regulatory outcomes.
  • Demonstrate strategic thinking by linking regulatory changes to business impact and controls.
  • Describe a time you advised a trading desk on a complex FICC transaction and its regulatory implications.
  • How would you handle a potential market abuse incident discovered through surveillance?
  • Explain the impact of new cross-border selling rules on FICC business in Asia.
  • How do you balance business demands with strict compliance requirements?
  • Walk us through a regulatory change project you led from start to finish.
  • Review recent regulatory updates from SFC, MAS, and HKMA related to market conduct and derivatives.

职位点评

70
综合评分

Senior compliance VP at top-tier global bank, high pay, steep regulatory demands, limited WLB.

从薪资福利、成长空间、工作节奏和岗位方向综合评估，方便横向比较。

更适合这类人
This role is best suited for a candidate prioritizing high compensation and career development in a specialized field, willing to accept intense work pressure.
表现最好
薪资福利
相对薄弱
工作生活
薪资福利85
成长发展70
工作生活50
使命价值60

薪资福利

85较高

The role offers a highly competitive compensation package and benefits typical of a global bank VP position in Hong Kong, with clear salary signals from market data.

薪资信号偏高 (120K-200K/月)
福利待遇Equal opportunity employment、professional development

成长发展

70中等

The role provides exposure to regulatory change, senior stakeholder interaction, and potential career progression, but the JD does not explicitly mention structured training or promotion paths.

技术前沿传统/成熟技术
技术栈FICC、Compliance、Regulatory
成长机会professional development
业务类型ambiguous

工作生活

50较低

The role is based in Hong Kong's central business district, likely high-pressure with long hours typical of banking compliance, and no WLB signals in the JD.

工作模式仅现场办公
办公地点市区核心地段
加班情况JD含高强度暗示词

使命价值

60中等

Compliance contributes to market integrity and investor protection, but the role is primarily about risk mitigation rather than direct social impact.

行业发展稳定成熟行业
社会影响中性/一般
使命信号conduct and control culture
创新程度稳健跟随主流

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