Offers “Groupe BPCE”

Expires soon Groupe BPCE

Public Side Compliance

  • HONG KONG
  • Marketing

Job description



Company Description

Natixis is the international corporate and investment banking, asset management, insurance and financial services arm of Groupe BPCE, the 2nd-largest banking group in France with 31.2 million clients spread over two retail banking networks, Banque Populaire and Caisse d'Epargne.
With more than 17,000 employees, Natixis has a number of areas of expertise that are organized into four main business lines: Asset & Wealth Management, Corporate & Investment Banking, Insurance and Specialized Financial Services.
A global player, Natixis has its own client base of companies, financial institutions and institutional investors as well as the client base of individuals, professionals and small and medium-size businesses of Groupe BPCE's banking networks.
Natixis CIB Asia Pacific provides regional corporate and financial institution clients with tailor-made financing and capital markets solutions as well as access to global financial markets, while supporting the development of Natixis' European and international clients in Asia Pacific

Job Description

Role Description:

·  Responsible for a range of regulatory compliance functions including compliance advisory to global markets front office staff, regulatory-related projects and compliance risk assessment
·  Minimum of 5-6 years' relevant experience gained from leading international investment banks
·  Experience / knowledge of securities regulations and exchange rules for listed and OTC derivatives is required
·  Provide pro-active advice to front office staff (equity and fixed income) on transactions and, business activities, regulatory policy and reputational issues to ensure compliance with legal and regulatory requirements
·  Respond to requests for guidance on compliance issues or concerns, as well as assisting in the identification and remediation of compliance risk in the business
·  Ensure adherence to internal policies and procedures in relation to public side activities.
·  Assess whether specific conduct or activities comply with applicable laws, regulations, market standards and internal policies and procedures
·  Participate in the validation process for new products/processes/activities
·  Provide timely and accurate responses to regulatory enquiries, investigations and inspections
·  Conduct staff training and support development needs and plans with a focus on capital markets business, particularly brokerage, trading and selling activities
·  Participate in ad hoc projects, providing compliance inputs and coordinating with the regional compliance team, head office and other internal parties
·  Help to ensure the Firm has a robust system and procedures to comply with regulatory and exchange rules regarding trading activities originated by HK staff (e.g. short-selling, position reporting, disclosure rules etc.) in Asia markets; scrutinize and follow up the results of alerts and reports
·  Liaise with compliance controls team on compliance monitoring and review, including transaction monitoring and the prevention of market abuse and pre-trade and post-trade controls
·  Help to ensure capital markets policies, procedures and guidelines are up to date, providing input and liaising with regional and head office teams

Required Skills/Qualifications/Experience

Required Skills:

·  At least 5 years' experience in financial markets compliance with specific experience of compliance advisory for capital markets
·  Excellent communication skills along with good judgment and a proven ability to solve problems
·  Excellent inter-personal skills combined with strong character
·  Able to interpret regulations, manage projects and deliver practical advice
·  Able to apply regulations to a variety of complex products and transactions
·  Skilled at offering alternative solutions to difficult problems
·  Ability to work with people at all levels
·  Excellent English skills, oral and written
·  Ability to work in a demanding and dynamic environment
Date de publication:20/09/2019

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