Derivatives Compliance VP - Chinese Investment Bank
CLIENT BACKGROUND
A dynamic and fast-growing financial institution is expanding its compliance function with a newly created role focused on derivatives compliance. With a growing OTC derivatives business across FICC and Equities, the firm is seeking a senior compliance professional to strengthen its regulatory oversight and support business growth.
JOB RESPONSIBILITY
- Act as a key compliance advisor for the firm's OTC derivatives business, covering both FICC and Equities products.
- Provide regulatory guidance on complex derivatives transactions, including options and futures.
- Collaborate closely with front office, legal, and operations teams to ensure compliance with local and international regulatory requirements.
- Monitor and interpret regulatory developments from SFC, HKEX, and global regulators, ensuring timely implementation of relevant policies.
- Support the Head in building out the derivatives compliance framework.
- Assist in internal and external audits, regulatory inquiries, and risk assessments related to derivatives activities.
JOB REQUIREMENTS
- Minimum 10 years of compliance experience within financial institutions, with a strong focus on derivatives (OTC, options, futures).
- Prior exposure to US-based firms or regulatory environments is highly preferred.
- In-depth understanding of FICC and Equities products and their regulatory implications.
- Familiarity with HKEX and SFC requirements.
- Strong analytical, communication, and stakeholder management skills.
- Ability to work independently in a lean team environment and contribute to strategic compliance initiatives.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.Â
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.Â
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.