VP, COMPLIANCE

• Delta-1 and Equity Derivatives Trading
• Expansion Role

Our client is a leading global independent investment banking and capital markets firm. They are currently looking for a VP Compliance to join the team in Hong Kong.

As VP Compliance, you will provide day-to-day compliance guidance to Delta-1 trading desks, including swap trading, hedging activity, equity financing, capital introduction and outsource trading desk. You will also review and approve trades requiring compliance clearance and assess the permissibility of synthetic exposures linked to restricted-market underlying securities. Oversee surveillance of Delta-1 and derivatives activities and work with global surveillance teams to calibrate models and alerts for restricted-markets scenarios. You will maintain and update APAC compliance policies and procedures and deliver training on restricted-market rules, foreign ownership limits, synthetic exposure guidelines, and market conduct risks.

To qualify, you should have at least 8 years of compliance experience in investment banking or markets. Strong technical knowledge of Delta-1 products and Prime businesses. Experience advising trading desks and ability to manage multiple time-sensitive matters across jurisdictions.

To apply for this job

Contact: Bryan quoting job ref: VSA-3309

Telephone: 852 - 9465 5833

Email: