CLIENT BACKGROUND
Our client is a well-established, global financial services platform with a significant presence across Asia-Pacific. The firm is known for its strong governance culture, close alignment between Compliance and the front office, and long-term investment in experienced compliance professionals.
This is a trading-floor-facing role within a mature equities franchise, offering high visibility, direct engagement with senior stakeholders, and the opportunity to influence regional compliance standards across key Asian markets.
The position is based in Hong Kong and is open to candidates currently overseas who are willing to relocate.
JOB RESPONSIBILITY
- Act as the primary Equities Compliance advisor for cash equities businesses, embedded on the trading floor
- Provide real-time advisory coverage to APAC trading and sales teams across restricted and high-regulatory-risk markets including China, Taiwan, Korea, and India.
- Partner closely with regional and global Compliance, Legal, Risk, and Surveillance teams to ensure consistent application of policies
- Support regulatory inquiries, internal reviews, and thematic risk assessments related to equities trading activity
- Contribute to the development and enhancement of compliance frameworks, policies, and training relevant to APAC equities markets
- Maintain strong awareness of evolving regulatory expectations impacting Delta One and cash equities businesses
JOB REQUIREMENTS
- 8+ years of experience in Equities Compliance.
- Proven experience supporting trading desks directly, ideally in a front-office-facing or trading floor environment
- Solid understanding of APAC equities markets, particularly regulatory and market conduct risks in China, Taiwan, Korea, or India
- Strong regulatory knowledge across major Asian jurisdictions; regional or global exposure is highly preferred
- Confident communicator with the ability to challenge constructively and influence senior stakeholders
- Self-driven, commercially minded, and comfortable operating in a fast-paced trading environment
- Based in Hong Kong or open to relocation to Hong Kong
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