Director- Global Market (Equities) Compliance- Top Tier Investment Bank

  • HK$1.4M base + competitive bonus
  • Hong Kong
  • Permanent, Full time
  • Aquis Search , EA Licence No: 16S8125
  • 13 Mar 19

Our client, a top tier investment bank in Hong Kong is looking for a seasoned global market compliance specialist to take up a newly created position in Hong Kong leading a small team.

Responsibilities of the role:

  • To provide regulatory and compliance advice to the sales and trading business units including primarily the Equities and FICC business  
  • To provide regular coaching and support to junior staffs in the team
  • To provide compliance training to business units and infrastructure support functions.
  • To handle all equities and FICC related inquries, investigstion, and inspections from regulators.
  • To Handle any other compliance matters, incidents, and projects as required for the operation of the Firm’s businesses in Hong Kong.


Requirements of the role:

  • University degree in accounting/ law or business administration
  • Strong financial services compliance or regulatory legal background
  • At least 8 years of equities compliance experience gained from large financial institution in Hong Kong. Experience in FICC and Wealth Management compliance will be a plus
  • Excellent verbal and written communication skills, both in English and Putonghua