AD, Equities Compliance (1.3-1.5mill base)

The Company

Our client is a Global Banking Group, with strong presences in Asia, with a long history and established compliance team and culture in HK.  As an important part of their Product Compliance Team, they are now looking for a knowledgeable, stable and driven compliance professional to be AD, Equities Compliance.  This person will be working in a team of 6-8ppl, to develop and implement compliance policy and review program covering equities business activities, to provide compliance advisory to their Cash Equities, Equities Derivatives and Prime Brokerage business.

The Role

As a senior member of their Products Compliance Team, you will be reporting to the Regional Head of Markets Compliance, responsible for providing compliance advice to their equities business, on-going compliance training to front office staff, handling regulator’s (HKMA, SFC, MPFA, etc) on-site exams.  You will also be responsible for new product development and undertake projects, sitting in risk & compliance committee meetings.

Your Profile

The successful candidate will be a degree holder in Law or Accounting, with a professional qualification is highly preferable. You will have at least 7 years of equities / products compliance experience in an investment banking environment, with solid experience in different financial products.  You will possess excellent presentation and communication skills (Ability to read & write Chinese and English is a MUST), and an ability to deal with all levels of an organisation.