Compliance Officer, Equities Compliance recruitment
The Business UBS operates one of the leading global equity businesses with its European operations focused in London. The business encompasses domestic and international equity and equity-related sales, trading and research and exchange traded and OTC derivatives.The RoleA position has arisen for an experienced Compliance Officer to work within the EMEA Equities Compliance team. The role, which will be based in a trading environment, involves the provision of advisory, education and monitoring services to European Equities, which spans cash sales and trading, exchange traded derivatives, prime Read more […]
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. Read more […]
Vice President, Equities Compliance recruitment
Reporting to the Head of Markets Securities Compliance Asia; a strong presence in the APAC region requires our client to bolster their equities Compliance team in Singapore, the ideal candidate will have the following:6+ years Compliance experience within a financial institution, regulator and/or comparable environment is preferableStrong working knowledge of the equities markets, with a focus on cash equities productsStrong working knowledge of securities laws, regulations, with detailed understanding of the application and impact of the relevant rules regulations.Ability to communicate clearly Read more […]
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:8+ years Compliance experience within a financial institution, regulator and/or comparable environment is preferableStrong working knowledge of the equities markets, with a focus on cash equities productsStrong working knowledge of securities laws, regulations, with detailed understanding of the application and impact of the HKMA’s and SFC’s rules regulations.Ability Read more […]
Equities Compliance recruitment
Our client, a global Investment Bank can provide a solid platform from which you will be given the opportunity to establish and develop your Compliance knowledge and skills. The client has highlighted a desire to bring the right person on board with a good mix of product and regulatory knowledge.With a broad scope of responsibility but not limited to; the successful candidate will be responsible for providing advice and monitoring all aspects of the sales trading businesses, with specific responsibility for Equity Derivatives. You will support management in reviewing new business initiatives and Read more […]
Compliance HK, Equities Compliance recruitment
Position Category: Legal/CompliancePosition Title: Compliance HK, Equities ComplianceJob Level: AssociateLocation: Hong Kong – Hong KongEducation Required: Refer to Position DescriptionPosition Description:We are looking for an Equities Compliance professional to join our Hong Kong-based Asia Pacific Regional Sales Trading Compliance team.This role will primarily cover equities compliance (cash and derivatives products) with major responsibilities as follows:- Projects. Assist with financial products’ clearing and relevant projects.- Advisory. Provide support on regulatory compliance issues, desk Read more […]
SVP, Equities Compliance recruitment
Attractive SalaryExcellent Career ProspectsAbout our ClientOur client is a stable banking group with well-established business in the region. They are now looking for a high-caliber, mature Compliance professional to take on a leadership role for their Equities Compliance team in Hong Kong.Job DescriptionReporting to the Regional Head of Compliance, you will be responsible for: Providing compliance advices to the Equity Derivatives business in their daily business operations Sitting with the equities sales and trading business and supporting them on new business initiatives from the compliance Read more […]
Equities Compliance recruitment
Equities ComplianceGood Career Opportunities Excellent Salary BenefitsOur client is a leading European Investment Bank with a strong compliance culture and an established regulatory framework. To continue the development of their Compliance function, an outstanding opportunity has arisen for an experienced Securities Compliance professional to join the team in Hong Kong. Reporting to the Head of Securities Compliance, your primary focus will be on the Hong Kong Equities business. As a compliance advisor, you will provide support to the Sales and Trading business, responding promptly to compliance Read more […]