Equities Compliance, Executive Director

Responsibilites:

• Strategic Regulatory Leadership: Provide authoritative advisory and sign-off on all China-facing business lines (Equities focus), interpreting complex and evolving CSRC, SAFE, and CFFEX mandates for senior trading and product desks.

• Cross-Border Program Governance: Oversee the compliance framework for the firm's access into Mainland China, including the full lifecycle management of QFII quotas, Stock Connect schemes, and foreign exchange regulatory requirements under SAFE.

• Regulatory Horizon Scanning: Proactively monitor policy shifts from Chinese authorities (CSRC, SAFE, Exchanges) and conduct detailed impact assessments to pre-emptively adjust internal controls and trading strategies.

• Policy & Control Implementation: Design, implement, and maintain rigorous compliance manuals and operational guidelines specific to onshore derivatives trading (CFFEX) and securities regulations.

• Regulatory Relationship Management: Serve as the designated liaison between the firm and Mainland regulators, managing inquiries, inspections, and reporting obligations to maintain a pristine regulatory standing.

• Cross-Functional Enablement: Partner with global compliance teams (Tokyo, NY, London) and local business heads to approve new products, onboard institutional clients, and deliver mandatory training on China's unique regulatory ecosystem.

Requirements:

• Experience: 10+ years in China financial markets compliance (must have brokerage, IB, or regulatory background).

• Technical Knowledge: Deep expertise in QFII, Connect, SAFE, CFFEX, and CSRC rulebooks.

• Languages: Fluent English & Mandarin