VP副总裁-Risk and Compliance Surveillance-OTC derivates
Guangzhou
Mainland China
Posted on: 2024-04-19
Job type: Permanent
Sector: Financial Services
We are currently seeking an experienced professional to join our team in the role of Senior Surveillance Manager - Risk and Compliance Surveillance Asia.
Principal responsibilities
Principal responsibilities
- The role requires strong partnership with the various line of business and leadership teams, which are the Treasury sales & trading teams covering all major assets classes, research teams and balance sheet management. Due to the global/ regional aspects of the business model, the role also requires active collaboration with line of business and regulatory compliance teams.
- The role will also need to stay at the forefront of regional regulatory changes impacting line of business to provide support for proactive communication with business and develop appropriate policy and framework to manage the changes, including creating R&C awareness through proactive engagement with business stakeholders and training.
- The role will also provide a second line of defense assurance to local management and Regional RC by assisting in the planning and execution of a risk-based compliance monitoring program and conduct such reviews and surveillance (where required), and duly escalate any material regulatory breaches, incidents or exceptions noted to the Head of Surveillance ASP.
Qualifications
- Project management and business analytic skills, preferably within a finance industry organisation, ideally within a Compliance function.
- Strong knowledge of financial products, such as Equities, Fixed income, Foreign exchanges and/or derivatives.
- Sound knowledge of Global Banking, Global Markets, Private Banking and Wealth is desirable, understanding of information control barrier risks.
- In particular, strong knowledge of OTC derivatives (FX, Options, Fixed income & Structured derivatives, Interest rate swaps, Equity Derivatives, Credit Derivatives etc.) would be highly preferred.
- Knowledge of market abuse risks and the relevant rules and regulations in relation to trading and sales activities.
- Ability to understand trade and Unauthorised Trade Surveillance and analyse these for the detection of potential Market Abuse & Unauthorised Trading.
- Experience of managing projects to deliver technology and business change, in a complex matrix organization.
- Ability to analyse and present complex information in a clear, concise and precise written and verbal format is essential.
- Ability to think strategically, with perspective, and demonstrate resilience.
- Ability to self-motivate and ‘do the right thing’.
- Strong, practical experience of risk management in a multi-dimensional environment (for example, industry expectations, regulatory pressures, extensive internal scrutiny)
- Ambition to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings.
- The ability to maintain ‘grip’ and attention to detail on multiple and competing Surveillance team and personal priorities and ensure delivery through self and through or with others.
- An experience Team Lead and a team player that can manage and contribute to team development, effectiveness, and success by sharing knowledge and good practice, working collaboratively with others to create a productive, diverse and supportive working environment.
- An ability to inspire confidence and enthusiasm in Surveillance deliverables in both staff and stakeholders.
- Supervisory and management skills are advantageous.
Contact
Joy Zhou
+86 20 3327 1863
Morgan Philips Executive Search
Unit 32-33，Lumina Guangzhou Tower 2 Level 17, No.181 Yanjiang West Road, Yuexiu District,
510120 Guangzhou
Greater China