Job ref no.: CT3119652-01#0591

Equities Compliance AVP- Award Winning Global Investment Bank

Robert Walters

Top tier Investment Bank looking to make a AVP hire into the Compliance Advisory team. Focus is on equities compliance advisory including both cash and derivatives. Regional coverage- Hong Kong based role.

Your main responsibilities includes-

  • Advising the equities business on the sale and trading regulatory requirements
  • Leading the implementation of new regulations and accordingly developing new policies
  • Supporting the implementation of the global and regional regulatory projects on equities business
  • Ensuring all relevant procedures and policies are smoothly implemented across the equities business
  • Representing and participating in compliance forums as a senior member of the team thereby advising on expectations of the regulators and ways of improving the current compliance framework.
  • Building and expanding relationships with regulators through involvement in all regulatory contact related to equities
  • Handling regulatory inquiries and investigations

You would meet the following requirements-

  • A minimum of 4 years’ experience in compliance with a focus on equities advisory within an investment bank
  • Strong knowledge of equities trading business and related products, exposure to regional equities derivatives would be an advantage
  • Excellent communication skills in English
  • Strong understanding of Hong Kong/Singapore/China regulations across equities
  • Ability to build relationships and manage stakeholders in a professional way is necessary for this role

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More job information
Job ref no. CT3119652-01#0591
  • N/A
Job Function
Employment Term
  • Full-time
  • 4 years - 9 years
Career Level
  • Middle management level
  • Degree