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Global Markets Regulatory Compliance Trainee (One Year Contract)

Global Markets Regulatory Compliance Trainee (One Year Contract)

Crédit Agricole CIBHONG KONG
15 天前
职位描述

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Global Markets Regulatory Compliance Trainee (One Year Contract)

Contract type

Internship / Trainee

Management position

Job summary

Summary

Within a compliance team of circa 50 staff in CACIB Asia Pacific (Japan, South Korea, Taiwan, India, Australia, China, Hong Kong and Singapore), Global Markets Regulatory Compliance team (GMRC) is the primary line of business (LOB) compliance team providing regulatory support to respective Sales and Trading functions of Global Markets Division (GMD), mainly on FICC and EQ structured note distribution network and DCM.

The team is responsible for managing compliance risk associated with operating GMD business, providing credible challenges to business and working closely with other functional partners and compliance officers across the region, whilst coordinating globally.

This opening is for those who will complete their degree requirements by June 2025 and are ready to start working from July 2025 onwards. Trainee program is one year to begin with and possible for extension up to 2 years in total, subject to performance and business needs.

Key Responsibilities

Monitoring and Surveillance (M&S)

  • Conduct regular compliance monitoring of Global Markets business activities including but not limited to : -
  • o trade surveillance and control;

o voice and electronic communications surveillance

  • Apply a comprehensive and logical surveillance approach to promptly and effectively handle Level 1 and Level 2 surveillance alerts
  • Provide regional support to the roll-out and embeddedness of a key strategic communication surveillance project (Shield) in other APAC sites
  • Provide recommendations for process improvements and enhancements to optimize post-trade monitoring and control activities, and to critically assess and calibrate system parameters in the surveillance systems to improve operational efficiency

    • Control Testing

  • Conduct regular control testing based on internal risk taxonomy for local and global compliance control testing plan, and to identify internal breaches / control weaknesses and conduct necessary investigations
  • Partner with Business and other compliance team members to establish regulatory controls, governance framework and methodology to manage business risks

    • Others

  • As required

    • Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided immediately upon request.

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    Position location

    Geographical area

    Asia, Hong Kong

    City

    HONG KONG

    Candidate criteria

    Minimal education level

    Bachelor Degree / BSc Degree or equivalent

    Academic qualification / Speciality

  • University degree or post-graduate studies in Finance and / or law with less than 12 months’ full-time experiences

    • Level of minimal experience

    0-2 years

    Experience

  • Previous internships in markets or investment banking compliance

    • Required skills

  • Strong analytical, problem solving skills
  • Attention to details
  • Ability to develop standards, which assure high levels of productivity and quality

    • Technical skills required

  • Strong computer literacy and communication skills

    • Languages

    Good written and spoken English

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    Regulatory Compliance • HONG KONG