Responsibilities:
- Identify potential areas of compliance risk and provide general advisory on any compliance related matters
- Maintain relationships with local regulators and deal with regulatory and exchange enquiries
- Provide internal training on general regulatory matters and oversee the Hong Kong compliance team
- Provide compliance support and advice across all asset classes in Hong Kong and participate in new product approval process
- Report directly to Asia COO and work closely with front office, operations and compliance colleagues globally
Requirements:
- Bachelor Degree in Economics, Risk Management, Finance or related discipline
- Minimum 10-15 years of experience in equities compliance from investment bank
- Must have solid leadership and strong management skills
- Must be articulate and fluent/native in English
- Thorough knowledge of local regulatory framework
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
