CLIENT BACKGROUND A leading Chinese investment bank with a strong global presence is actively seeking an experienced compliance professional to join its Hong Kong office. Despite being a top-tier institution with robust equities operations, this key role has remained open for some time-making it an exceptional opportunity for candidates ready to step into a high-impact position with visibility and influence.
JOB RESPONSIBILITY As a VP/Director for
Cash Equities Compliance, you will:
- Provide advisory support to front office equities teams on regulatory obligations and internal policies.
- Monitor trading activities to ensure alignment with SFC regulations and global compliance standards.
- Lead or support investigations, surveillance reviews, and regulatory inquiries related to equities trading.
- Collaborate with Legal, Risk, and other control functions to manage compliance risks across the equities business.
- Drive compliance training and awareness initiatives for trading and sales teams.
- Contribute to the development and enhancement of compliance frameworks and controls.
JOB REQUIREMENTS - Minimum 7 years of compliance experience, ideally within cash equities at a financial institution or regulator.
- Strong understanding of Hong Kong SFC regulations and global equities markets.
- Proven ability to engage with senior stakeholders and front office teams.
- Mandarin language skills are advantageous but not mandatory.
- Self-starter with a proactive mindset and ability to thrive in a fast-paced environment.
