Global Markets Regulatory Compliance Trainee (One Year Contract)

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 employers personal data policies, a copy of which will be provided immediately upon request.

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Information :

• Company : Crédit Agricole CIB
• Position : Global Markets Regulatory Compliance Trainee (One Year Contract)
• Location : Hong Kong
• Country : HK