Job ref no.: CT3126123-01#1613

Senior Equity Manager, Equities Compliance

Aquis Search



  • Providing oversight, advice and challenge to the Equities business in Asia Pacific - in particular, cash equities, prime services and equity derivatives.
  • Advising on various regulatory and stock exchange rules aspects of the Equities businesses
  • Reviewing regulatory/exchange rule changes and circulars and analysing the impact to the Equities business.
  • Providing regulatory advice and guidance with respect to new business initiatives.
  • Promoting a compliance-oriented culture, support the Equities business in delivering and achieving the bank’s strategic objectives.
  • Advising the respective local compliance and regional Equities business management stakeholders on regulatory risks
  • Providing timely escalation to the senior management team and front office teams


  • 9 – 12 years of experience
  • Experience of working in a Compliance Advisory role in Equities;
  • Knowledge of Hong Kong Stock Exchange and China Connect rules is required.
  • Good knowledge of Hong Kong and Asia Pacific regulations related to equities including regulatory and stock exchange rules.
  • Strong communication and interpersonal skills;
  • Fluent in English 

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More job information
Job ref no. CT3126123-01#1613
Job Function
Employment Term
  • Permanent
  • Full-time
  • 9 years - 12 years
Career Level
  • Middle management level
  • N/A