Our client, a global investment bank in Hong Kong is looking for a dynamic APAC Equities or Market Compliance professionals to join their Compliance Team in Hong Kong.
Responsibilities:
- To perform daily advisory across sales and trading businesses including equities and fixed income
- To review new business initiatives from a regulatory, best practice and Firm standard perspective.
- To maintain and update all relevant compliance manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards, and issue new policies and procedures in light of regulatory or business developments.
- To maintain regulatory and exchange relationships, including dealing with regulatory queries, investigations and inspections
- To build and maintain strong relationships with the Front Office, Operations etc. and with Compliance colleagues globally
- To assist in the response to issues identification and escalation by evaluating, recommending the initiation of, and/or carrying out investigative procedures
- Identifying and carrying out the necessary actions to provide solutions needed to discharge effective compliance advice to the Equities businesses.
- Perform regular compliance risk and controls assessments
Requirements of the role:
- Excellent knowledge of Equities products related regulations and exchange trading rules.
- Prior experience in providing in-house compliance or regulatory legal coverage for securities sales and trading business is an advantage
- Solid institutional broker dealer, investment banking experience, ideally gained from Global investment bank
- 5 to 10 years (Manager level) or more than 10 years (Senior Manager level) of relevant experience in financial institutions and/or regulatory authorities in the equities compliance space
- Good analytical and communication skills
Company Reg. No.: 201131609D | Licence No.: 11C4684 | EA Reg No: R2196467
