Executive Director, Equities Compliance recruitment
Reporting to the Head of Markets Securities Compliance Asia (ex-Japan); a strong presence in the APAC region requires our client to bolster their equities Compliance team in Hong Kong, the ideal candidate will have the following:
- 10+ years Compliance experience within a financial institution, regulator and/or comparable environment is preferable
- Strong working knowledge of the equities markets, with a focus on cash equities products
- Strong working knowledge of securities laws, regulations, with detailed understanding of the application and impact of the HKMA’s and SFC’s rules regulations.
- Ability to communicate clearly and concisely on regulatory compliance issues, to external and internal contacts at all levels.
- Be able to work closely with the business manage a small close-knit team
The prime function of this role will be to manage the Compliance function in Hong Kong and provide comprehensive advisory and control services to the activities undertaken by the Cash Equities business in Hong Kong. This role will provide excellent exposure to the regulators, stock exchanges and relevant bodies and the opportunity to liaise with counterparts in Singapore and other off-shore offices.
If you have the required experience and are looking to take the next step in your career please contact Charles de Carvalho on +852 2168 0794 or charlesdecarvalho@puresearch.com