Vice President, Compliance (Global Markets)

Responsibilities:

1. Provide compliance advisory support to key business lines including Global Markets and FICC and with special focus on business activities relating to the forthcoming Type 11 under the SFO, OTC derivatives and structured products;
2. Plan and implement compliance programs aligned with OTC derivatives / Type 11 compliance regulations;
3. Maintain an in-depth understanding of OTC derivatives products and structured products, and closely monitor changes in the regulatory environment;
4. Provide compliance advice and support in development on new business / product initiatives in key areas including licensing requirement, appropriate business model, virtual asset and tokenized securities;
5. Review of policies and procedures for business operations where necessary;
6. Advise management and business lines on key regulatory risks, compliance issues and potential impact of regulatory trends and developments;
7. Review the current compliance controls under the key business lines and propose remedial measures and enhancements to mitigate regulatory risks; and
8. Lead ad hoc projects on new regulatory changes/development and business-related projects.

Requirements:

1. University degree holder in Finance, Accounting, Law or related discipline;
2. 5 years relevant experience working in advisory compliance function covering Equities, Fixed Income and/or Derivative;
3. Extensive exposure to financial products, OTC derivatives, structured products is a prerequisite;
4. Strong knowledge in SFC rules and relevant regulation; Knowledge in CSRC rules (including QFII business regulations) is an advantage.
5. Pro-active, self-motivated, assertive and well organized;
6. Ability to work independently and yet remain a strong team player;
7. Forward looking, focused on streamlining processes and increasing efficiency;
8. Proactive approach to problem solving;
9. Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure;
10. Personable, level headed and able work in harmony with others;
11. Excellent command in both written and spoken English and Chinese, fluency in Putonghua is a must.

We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply" or by sending it to

mailto:[email protected]

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

Guotai Junan International (Stock Code: 1788.HK) is the first Chinese securities company listed on Hong Kong Stock Exchange by way of IPO. Based in Hong Kong, we provide diversified financial services including wealth management, brokerage, corporate finance, loans and financing, asset management and financial products. Through the systematic management and training, you will have the opportunity to maximize your talents on our board platform and empower your future with GTJAI.