Derivatives Compliance VP - Chinese Investment Bank

CLIENT BACKGROUND
A leading Chinese investment bank is hiring a Vice President, Global Markets Compliance to support its OTC derivatives and structured products business in Hong Kong.

This is an advisory role, working closely with Global Markets / FICC businesses on regulatory interpretation, new product initiatives, and evolving SFC requirements.

The team is open to candidates from the SFC or Big 4, in addition to in‑house compliance professionals.

JOB RESPONSIBILITY

• Provide compliance advisory support to Global Markets / FICC businesses, with a focus on OTC derivatives and structured products
• Advise on regulatory requirements under the Securities and Futures Ordinance (SFO), including Type 1 / Type 2 / Type 11 activities
• Support new business and product initiatives, including licensing considerations and business model assessments
• Interpret and implement evolving SFC OTC derivatives regulations
• Review and enhance policies, procedures, and controls to mitigate regulatory risk
• Act as a key point of contact for SFC inquiries, thematic reviews, and inspections
• Participate in ad‑hoc projects relating to regulatory developments and Global Markets initiatives

JOB REQUIREMENTS

Regulatory

• Experience from the SFC, particularly Intermediaries Supervision, Licensing, or intermediaries‑focused Enforcement
• Exposure to OTC derivatives, structured products, or intermediaries compliance

Consulting

• Big 4 experience from Financial Services Risk / Regulatory Advisory or Capital Markets teams
• Hands‑on project exposure to OTC derivatives, SFC regulatory change, or capital markets controls

General Requirements

• 5+ years of relevant experience in compliance, regulatory advisory, or supervision
• Strong working knowledge of SFC rules and conduct requirements
• Practical exposure to derivatives or capital markets products
• Commercial mindset with the ability to engage confidently with front‑office stakeholders
• Strong communication skills in English and Chinese; Putonghua required

Why This Role

• Front‑office advisory focus (not policy or monitoring‑only)
• Strong exposure to OTC derivatives and Global Markets businesses
• Opportunity to transition from regulator or advisory into industry