Equities Derivatives Compliance, VP - Investment Bank

Key responsibilities:

As VP of Equities Derivatives Compliance, you will advise trading desks and ensure adherence to cross-border regulations, investor regimes, and market controls across APAC jurisdictions.

• Provide day-to-day compliance advisory to Delta 1 and equity derivatives trading across swaps, hedging, equity financing, capital introduction, and outsourced trading
• Advise on APAC regulatory requirements (India, Taiwan, Korea, China), including foreign ownership limits, investor eligibility, reporting obligations, and market access rules
• Support trading strategies such as equity swaps and cross-border hedging to ensure compliance with local and extraterritorial regulations
• Review and approve trades, assess synthetic exposures, and coordinate with Operations/Middle Office on restricted securities and ownership monitoring
• Oversee surveillance for market conduct risks, calibrate alerts with global teams, and manage investigations, escalations, and reporting
• Maintain and update compliance policies, monitor regulatory changes, and support audits, inspections, and regulatory inquiries
• Deliver training and provide compliance input on new products, trading initiatives, platform upgrades, and business expansion

Candidate profile:

To excel in this role, you bring strong APAC equities compliance experience, Delta 1 expertise, and the ability to advise trading desks within complex regulatory frameworks.

• Bachelor's degree required; legal, finance, or risk-related qualification preferred
• 8-12 years' experience in compliance, regulatory, or risk within investment banking or markets
• Strong technical knowledge of Delta 1 products, Prime services, swaps, equity hedging, capital introduction, and outsourced trading
• Practical knowledge of regulatory frameworks across India, Taiwan, Korea, and China
• Experience advising trading desks with solid understanding of workflows and control environments
• Strong analytical, communication, stakeholder management, and decision-making skills with high attention to detail
• Proactive, solutions-driven, and able to manage multiple time-sensitive matters while collaborating effectively across global teams

About the company:

A leading global investment banking and capital markets firm providing advisory, trading, research, and asset management services, offering a collaborative environment, global exposure, and strong opportunities for career growth and development.

Keywords: equity derivatives, compliance advisory, Delta1 trading, APAC regulatory frameworks, financial services

What's next:

Join a leading global investment bank and shape impactful compliance strategies across complex APAC derivatives markets. Apply now!