TeamLead Equities Compliance , Global Market

My client is an investment bank with worldwide presence. They are currently looking for an Equities Compliance Team Lead to join their compliance department.

Responsibilities:

  • Act as the Hong Kong Equities Compliance Lead, primary contact with Hong Kong regulators and first point of escalation for equities related matter
  • Provide guidance and direction to related business units on any equities regulatory compliance related matters
  • Provide advisory on regulatory aspects of the Equities business and ensure the business is conducted in accordance with regulatory requirements
  • Report directly to senior line management and work closely with teammates on any equities regulatory compliance related matters

Requirements:

  • Bachelor's Degree or equivalent
  • Minimum 8-10 years of experience in equities compliance advisory
  • Management experience is a must
  • Strong knowledge on equities regulations
  • Excellent command in both Chinese and English.

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.