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