Vice President, Compliance (Equity Derivatives) recruitment

Vice President, Compliance (Equity Derivatives)

Summary:

• Based in Hong Kong. 

• Reporting to Regional Head of Sales Trading Compliance, Asia Pacific.

• Responsible for equities compliance specifically in derivatives, encompassing market access products, OTC derivatives and non-retail structured products.

About the Client:

Top Tier Investment Bank

About the Role:

• Projects. Compliance responsibility for OTC derivatives clearing and trade reporting implementation for Asia. Lead specific ad-hoc projects.

• Advisory. Provide advice either independently or with other team members on regulatory compliance issues, with specific focus on market access products.

• New business initiatives. Review and lead new business initiatives from a local regulatory, best practice and Firm perspective.

• Compliance policies and procedures. Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.

• Desk reviews and monitoring. Provide advice to the Desk Review Team to identify risk areas or lead independent reviews and monitoring of business practice.

• Regulatory interaction. Help develop and manage the Firm’s contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive.

• Training. Develop training materials and provide training to Institutional Equity Department staff.

Requirements:

• In-depth knowledge of regulatory and compliance requirements, especially those related to equities derivatives activities.

• Must have at least 8-10 years of relevant experience with a financial institution covering equities derivatives activities.

• Experience in working closely with country compliance coverage to deal with equities issues.

• Ability to speak Mandarin and read Chinese necessary.

• Knowledge of compliance requirements relating to market access products and listed derivatives in Asia-Pacific region (especially China) a distinct advantage.

To apply, please forward to us your update profile in MS WORD FORMAT to recruitment.asia@psdgroup.com

We regret that only shortlisted candidates will be notified.

Information gathered will strictly be used for recruitment purposes only.