HONG KONG – APAC Director Regional Equities and Prime Compliance for a TOP Tier Investment Bank recruitment

The Compliance Department is responsible for the provision of regulatory advice to all areas of firm’s business, the monitoring of all business activities to measure Compliance with applicable regulations and the firm’s risk management framework, the creation and implementation of appropriate regulatory policies and procedures and the management of firm’s relationship with all of its regulators. 

The client is looking for a qualified individual who will run and manage Equities Compliance team for Asia Pacific region. He / She will act as the contact point for Asia Pacific and to work closely with and being a member of the global compliance equities management team. His / Her primary focus will be on Equities and Prime including Equities sales and trading businesses: Equity Derivatives Sales Trading and Structuring, Equity Linked Financing and Convertible Bonds Sales and Trading. Prime will be focused on trading, synthetics, access products and SLB.

Responsibilities

• Part of regional senior management team in Asia and part of global Equities management team

• To strategies and build a strong and competent equities compliance team in Asia Pacific.

• To build a strong relationship with regional and global Equities and Prime management team

• To evaluate and escalate issues to regional and global management team as appropriate

• Provide regulatory advice with respect to sales and trading issues raised by the relevant business areas. Liaise with key members of the business and infrastructure on any related regulatory issues.

• Work closely with Senior management team on Equities, Prime and other infrastructure areas

• To build a strong equities monitoring team and model for Asia

• To ensure the Equities and Prime business are being reviewed by the team or compliance review team on periodic basis to ensure compliance with local and global rules and regulation

• Review responses to regulatory queries/investigations

• Review and formulate local policies and to consult on global policies

• Provide ad hoc training to the equity sales and trading business as necessary.

• Build a strong relationship with respective AP regulators

The Candidate

• Degree holder preferably CFA, Master or CPA

• Minimum 10 years of relevant experience in the financial services industry in a regulatory related role

• Strong understanding of both the regulatory frameworks and products traded. Solid experience in Equities / Prime around the Asia Pacific region.

• Excellent analytical skills.

• Excellent management skills including people and problem solving

• Ability to make decisions and respond to issues promptly under pressure.

• Excellent organisational skills, able to manage daily queries with ongoing projects.

• Quick thinker with ability to understand complex transactions and explain compliance issues clearly and concisely.

• Project experience, team player and confident.

Interested parties please send your resume in WORD format to joanna.tsang@bo-le.com or please call +852 2913 9390 for further details.