Senior Compliance, FICC - Global Financial Services Company

Job description

About the Company

Our client is a leading global financial institution with a strong presence across Asia and an integrated network spanning over 40 countries. With a long tradition of disciplined entrepreneurship and thought leadership, the firm is recognized for delivering innovative solutions and fostering a collaborative culture. Joining this organization means being part of a dynamic environment that connects markets East and West, offering exposure to complex products and international stakeholders.

Role Overview

We are seeking a Senior Compliance to provide end‑to‑end compliance coverage for FICC (Fixed Income, Currencies, Commodities) sales and trading businesses across Asia ex‑Japan. This is a senior advisory role with responsibility for regulatory advice, change management, and conduct risk oversight. The successful candidate will work closely with senior stakeholders, regulators, and cross‑functional teams to ensure robust compliance frameworks and effective risk management.

Role Overview

This is a senior compliance advisory role providing direct support to the FICC (Fixed Income, Currencies, Commodities) sales and trading businesses across Asia ex‑Japan. The position focuses on delivering regulatory guidance, supporting new product approvals, engaging with regulators, and reinforcing a strong conduct culture within the front office.

Key Responsibilities

• Act as the primary compliance advisor to FICC sales, trading, and structuring teams, offering clear and practical guidance on transactions, documentation, and client interactions.
• Provide timely advice on the regulatory implications of business strategies, product launches, and booking models, coordinating with Legal where necessary.
• Participate in new product and business initiative reviews, ensuring appropriate disclosures, approvals, and compliance safeguards are in place before launch.
• Serve as a key liaison with regulators on inquiries, thematic reviews, and audits, coordinating responses and follow‑up actions with business and support functions.
• Prepare and deliver compliance reporting and updates for senior management and governance committees, highlighting regulatory developments and conduct matters.
• Develop and deliver targeted training to front‑office and support staff on regulatory requirements, internal policies, and expected behaviors, reinforcing a strong compliance culture.

Candidate Profile

• Bachelor's degree or above in Law, Finance, Economics, or related discipline.
• Professional qualifications in compliance, legal, or securities markets preferred.
• Minimum 7 years of markets compliance experience with exposure to FICC products.
• Strong knowledge of global and regional financial regulations impacting FICC businesses.
• Excellent communication and stakeholder management skills, with fluency in English and Chinese.