Job Overview

SVP, Equities Compliance, Global Markets, Asia

Location: Hong Kong Salary: $Competitive
Type: Permanent Contact: Jeremy Lam
Posted: 5 months ago

Our client is an investment bank and has a proven track record of success across Asia and Europe. They offer a good selection of services across global banking, markets and corporate banking. This is an excellent opportunity for a motivated products advisory specialist to lead its Global Markets Advisory team in Hong Kong.

Main Responsibilities:

  • Design and deliver Compliance programs, policies and practices across the bank's products, geographies and clients. 
  • Serve as the Equities Team Lead and as a subject matter expert to provide expert guidance on Equities business and product regulations.
  • Advise Equities business and product management on regulatory and compliance issues
  • Stay up-to-date of relevant changes to rules and regulations.
  • Continue to monitor regulatory developments, the impact of developments across function, business and product including cross-border issues.
  • Investigate breaches and work actively with regulators.

Applicants must have the following skills and experience:

  • Solid 8 years of Equities and/or Fixed Income products compliance experience.
  • Excellent written and verbal communication skills.
  • Strong understanding of rules, regulations in Asia Pacific, mainly Hong Kong.
  • Highly motivated and team oriented.
  • Good awareness of requirements including US laws, international and industry standard. 
If you are interested in this role please apply below or contact me for more information.