Director / Executive Director Compliance, Global Markets/ Equities/ Equities Derivatives recruitment

I am delighted to search for a Senior Level Compliance Director / Executive Director to manage the IBD Sales and Trading  Compliance teams of this top tier , global investment bank. 

THE ROLE


This is a high profile role for a senior and knwledgeable investment banking compliance professional to lead and  manage the Investment Banking  Compliance Advisory team which advises on and monitors Equities, Equity Derivatives, Futures/Options and Primes Services businesses within Global Banking Markets, so that senior management can ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice for Asia Pacific.

Support and assist senior Investment Banking Divisions of Hong Kong and APAC Senior Management in complying with all relevant external regulations, internal codes and policies

• Responsible for designing and managing effective reporting to Asia Pacific Head of Compliance, keep him appraised of  latest issues. This will include review of findings, potential rule breaches and regulatory action

• Have oversight of key controls within the IBD  business environment, providing proactive monitoring and awareness of risks to the Business; take remedial action when necessary
 

• Manage direct reports by driving a high performance culture through effective people management activities and support

REQUIREMENTS 

• Strong  team management and senior business line reporting experience; existing experience of working in an IBD / Global Markets Compliance Advisory role essential

• Broad Global Markets product knowledge to include Equities/Equity Derivatives, Futures/Options and Prime Services. Knowledge of Foreign Exchange and Debt/Fixed Income would be advantageous;
 

• An understanding of the key regulators in Hong Kong, the HKMA, SFC and HKEx, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory developments
 

• Excellent spoken and written English communication skills
 

• Well developed interpersonal/ networking skills with confidence in dealing with people from diverse cultures
 

• Strong analytical and problem-solving skills
 

• University graduate with at least 10 years of experience in a Compliance/Regulatory function in the context of Global Markets
 

• Any fluency in Cantonese and English. Good skills in Mandarin would also be useful, but not essential.

Please note: this is not a role for "relocation" candidates from outside Asia, unless prior experience of working in Asia can be demonstrated. Recent local Asia jurisdictions IBD regulatory knowledge is preferered.

Please contact Edward Chen for a confidential dsicussion: ec@barclaysimpson.com

Tel +852 546 2955/ 917 44385