Compliance Advisor

We have been mandated with multiple compliance advisory positions covering APAC equity businesses within global financial institutions based in Hong Kong.

In the role of a Compliance Advisor, you will be responsible for providing comprehensive compliance coverage to Equities desk across the APAC region. Your key responsibilities will include overseeing the APAC compliance program, offering guidance on regulatory updates, managing compliance incidents and breaches, reviewing new business and product initiatives, and implementing pertinent compliance policies and procedures.

To be considered for this role, candidates must have a minimum of 5 years of experience in markets compliance or regulatory compliance covering APAC equities products. It is crucial to have a strong familiarity with cash equities or prime brokerage related rules and regulation for the APAC region.

Please send your CV to Vivian Chen at [email protected], or call +852 2315 9503 for a confidential discussion.