Equities Compliance – VP recruitment
- Top Tier European Bank
- Securities Compliance
- Excellent Salary Benefits
Our client is a leading European Investment Bank with a strong compliance culture and an established regulatory framework. To maintain adequate support to the business and continue the development of their Compliance function, an outstanding opportunity has arisen for an experienced Equities Compliance expert to join the team in Hong Kong.
Reporting to the Head of Securities Compliance, you will focus on the Cash Equities business in Hong Kong. As a compliance advisor, you will provide support to the Sales and Trading business in Asia, responding promptly to compliance queries and monitoring the daily equities trading activities to identify any exceptions to regulatory requirements and policies. Keeping abreast of regulatory developments, you will work as a partner to the business advising on potential implications and delivering structured training to the Equities teams. You will take part in strategic regional business and compliance initiatives as well as assist with development of internal policies and procedures specific to the equity business.
To qualify, individuals must possess:
- A university degree in relevant discipline
- Minimum 8 years of relevant experience in Compliance gained in Investment Banking, Brokerage or Regulatory Bodies
- Solid practical knowledge of Hong Kong Equities market with a focus on Cash Equities products
- Strong understanding of Hong Kong regulatory requirements and securities laws
- Excellent interpersonal skills with strong comfort in interacting with the trading floor, senior management and regulators
- Fluency in English
Contact Kimberly Chien on (852) 3101 3066 or APPLY NOW by clicking the button below quoting reference number KC18986 www.ambition.com.hk
Data provided is for recruitment purposes only.