Responsibilities

• Work with the Global Markets Admin team, overseeing the various risk & control issues and deliverables

• Contribute strategic planning for this group and overall desk support requirements.

• Work closely with the global BRC team to ensure the right checks and controls are covered

• Engage the desk and middle office managers on joint issues to ensure consistency of focuses and best practices

• Liaise with the relevant technology managers to ensure system efficiencies are realized and control issues are included in the application requirements

• Analyse existing business practices, identify opportunities for improvement and implement best practice procedures

• Build business relationships across all the Global Markets products for issues such as Information Security, Business Continuity, Record retention, regulatory issues, control testing, etc

• Team responsibilities:

• Manage day-to-day control and regulatory issues which will aid business expansion and opportunities
• Ensure business projects and initiatives are in line with business goals and completed
• Provide guidance to team members on day-to-day issues
• Play an important role in clarity of team and individual responsibilities and work with others to ensure team tasks are completed
• Ensure collective effort from team members in opportunities for process improvements and efficiency planning

Requirements

• University Degree or equivalent

• 7 years of Internal Audit, Compliance or Business Unit Manager experience, preferably at least 5 years of financial markets experience

• Strong knowledge in FSA, METI and MAFF regulations, especially the regulatory returns

• Experience in Equity & Fixed Income market

• Working knowledge of the various products traded

• Independent, result-oriented, dedicated worker, team player and capable to work under pressure

Languages

• Fluent English and Japanese

Location

• Hong Kong