VP, Equities Compliance Advisory

Location: Hong Kong,
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: HK$1000000.00 - HK$1700000.00 per annum + Discretionary Bonus
REF: AS00043146_1493111013

Our client is a top-tier investment bank with an established and growing investment banking and global markets businesses in Asia. As part of continued growth, an outstanding opportunity in the regional Equities Compliance Advisory team has arisen for an experienced Compliance professional to be based in Hong Kong.

Reporting to the Regional Head of Equities Compliance Advisory, you will be a key member of the specialised team (trading floor-based compliance team) providing compliance advice to the Equities business in Asia covering Cash Equities, Sales & Trading, Derivatives and Structured Products, Electronic Trading. Your responsibilities will include business operations compliance advisory, new products reviews / advisory, markets initiatives matters, policy reviews / development, transactions reviews, booking structures advisory, regulatory change impacts assessment. You will provide regulatory advice related to the business and potential changes in Asia which would impact the business in addition to helping the business to understand the various regulations in different locations. You will develop and conduct training to relevant team members when required. Additionally, you will perform continuous assessment on compliance and regulatory risks and assist in regulatory investigations / examinations when required.

To qualify, individuals must possess:

  • Minimum 8 10+ years relevant experience in Compliance or relevant Controls related roles in Equities trading
  • Solid Cash Equities and / or Equity Derivatives products knowledge
  • Familiarity to the Asia regulatory environment and exchange rules
  • Experience gained from Investment Banks, Securities / Brokerages and / or regulatory bodies
  • Excellent communication skills with English


Contact Amy Ho (852) 3101 3066 or click APPLY NOW button quoting reference number AH 43146. www.ambition.com.hk

Data provided is for recruitment purposes only.
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