Associate Director, Equities Compliance – Global Markets recruitment

Hong Kong

The Role

Reporting to the Head of Global Markets Compliance, you will be responsible for the followings:

To support the business and APAC region to comply with all relevant external regulations, codes of conduct, internal codes/policies and market practice
To collaborate with regional and local compliance teams in providing comprehensive compliance advisory support to relevant Global Market business
To provide training to business areas in procedures and practices necessary to achieve compliance
To maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators
To understand and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the code of conduct of the business

Requirements:

University graduate with at least 5 years experience in a compliance/Regulatory function
Experience of working in a Global Markets Compliance Advisory role
Good knowledge of Equity Derivatives products and related regulatory requirements
Strong analytical and problem solving skills
Ability to work as part of a team
Good understanding of regulatory requirements including Equity Exchange rules and procedures
Supervisory or project management experience would be an advantage
Fluent in Cantonese, English and Mandarin is essential

Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.

(EF/7337)

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