Compliance HK, Regional Equities Coverage, Vice President/Executive Director

It is expected the Compliance individual will help raise compliance standards across the Firm in the relevant coverage areas, helping ensure consistency where appropriate of compliance processes and controls. Advisory - Provide advice on regulatory interpretation and compliance issues with specific focus on cash equities sales and trading and electronic trading services. New business initiatives - Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and Firm perspective. Compliance policies and procedures - Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes. Desk reviews and monitoring - Provide advice to the Desk Review and Monitoring Team to identify risk areas or lead independent reviews, and monitoring of business and supervisory practice. Surveillance - Work with the Surveillance team on investigating irregular trading activities, document findings and assist in preparing regulatory responses. Training - Develop training materials and provide training to Institutional Equity Division staff. Industry contacts - Work closely with industry participants to ensure appropriateness and consistency. Regulatory interaction - Help develop and manage the Firm's contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive. Global / regional coordination - Develop close working relationship with global and regional counterparts within second line of defense, as well as other relevant stakeholders. University graduate or equivalent degree preferred, ideally in business, accounting or law Minimum 8-10 years of relevant work experience in the financial services industry in Compliance or internal audit and/or with a securities exchange or regulator Sound experience in providing regulatory / compliance advice in connection to Equities coverage areas In-depth knowledge of Hong Kong regulatory and compliance requirements. Knowledge of APAC regulatory developments advantageous. Sound judgment in identifying risks in order to proactively escalate to relevant senior managers Outstanding communication skills in English necessary to effectively interact and influence internal and external stakeholders; fluency in Asian languages (e.g. Mandarin and/or Cantonese) advantageous Strong analytical skills, detail-oriented, team player, proficient in time management and able to initiate and manage projects Demonstrate ability to effectively review and analyze data / situations and apply judgement to resolve issues in a timely manner Able to make, support and defend difficult and complex regulatory / compliance decisions in a fast-paced and highly pressured environment Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.