VP- Director, Equities Compliance

Our client is a multi-national capital markets and investment group with an established business in Hong Kong.

Responsibilities:

• Offer guidance on regulatory interpretation and compliance issues.
• Review and advise on new business and infrastructure projects with a focus on local regulations and best practices.
• Update existing compliance procedures and create new ones as needed due to regulatory or business changes.
• Support team members in conducting compliance checks to ensure ongoing adherence to regulations.
• Handle inquiries from regulators and manage relationships with them.
• Provide training for business units on compliance matters.

Requirements:

• Degree holder with at least 8 years of relevant experience in the financial services/ investment banking industry/ regulator/ securities exchange.
• Sound knowledge on the products and business of cash equities and equity derivatives.
• Good communication skill in Cantonese and English. Fluency in Mandarin is a plus.