Director, Equities Compliance

Hong Kong

• Global Investment Bank
• Highly Visible Role
• Multi-cultural Environment
• Good Internal Mobility

Our client is one of the largest investment banks in the world with a strong reputation for career progression and growth of the employees.   This role gives an opportunity for an uplift in the candidates career profile

The Role

Reporting to the Head of Compliance, you will be fully responsible for:

• Advising the cash equities business in relation to current and future legislation for the conduct of business
• Assisting the Senior Management to develop compliance framework to ensure adherence to the relevant regulatory and business framework for the business
• Promoting compliance rules, procedures and controls and developing compliance training programs to the equities business
• Participating in new business initiatives and transactions that requires pre-approval
• Performing surveillance review on the business trading activity in order to ensure compliance with regulatory requirements
• Establishing good relationship with the regulators and counterparts in Singapore and other off-shore offices

The Successful Applicant

You will be a University Graduate holding a degree in law and/or economics preferred with at least 8-10 years’ experience gained within a financial services compliance function.  You will possess sound knowledge of Cash Equities in particular, as well as the Hong Kong and regional compliance and regulatory laws.  Strong communication, analytical and leadership skills is essential for the role.  Fluency in English and Mandarin, both written and spoken is highly desirable.

Contact Us

Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.  For more Compliance positions, please visit our website and contact us for details.

(WS/7893)