Head of compliance recruitment
The Head of Compliance will need to provide regulatory/compliance advice and support to equity and equity derivatives sales and sales-trading businesses. In addition you will be expected to communicate current and future legislation to all interested parties.
Oversee the development and implementation of compliance training modules.
The successful candidate will, likely, have experience at a senior level in compliance within a small to medium sized firm either leading the function or as a number 2 and ready to step into a leadership role.
Oversee surveillance reviews on trading activities in order to ensure compliance with regulatory requirements
Requirements:
Solid background in compliance with an equities focus.
Experience working with institutional sales and/or sales trading businesses. Candidates who have experience working with a retail business, in addition to the above, would be well regarded.
In depth product knowledge of equities and equities derivatives.
Familiarity with regulatory reporting and good relationships with the relevant regulatory bodies in Hong Kong.
Fluent Cantonese and, at least, business level English.
Proactive attitude and comfortable working and interacting with senior management
Experience managing a team is preferred