VP Compliance - Market Surveillance & Integrity

Overview

Our client, a recognized market leader in the financial industry, is seeking an accomplished compliance professional to champion initiatives that uphold market integrity and reinforce adherence to regulatory standards. This pivotal role offers the opportunity to shape and drive best-in-class practices across regulatory oversight, market surveillance, and participant education, with a strong focus on risk management and collaboration with key stakeholders.

Key Responsibilities

• Lead and support initiatives to monitor trading activities and ensure adherence to company rules and industry standards.
• Conduct compliance reviews, inspections, and thematic assessments to identify potential risks and strengthen participant accountability.
• Drive market education efforts, including seminars, roundtables, and publications that promote best practices.
• Collaborate on the design, testing, and rollout of surveillance and enforcement systems, ensuring operational efficiency.
• Partner with internal teams to enhance policies, streamline workflows, and explore automation opportunities.
• Prepare analytical reports and presentations for senior management and external stakeholders.
• Act as a liaison with industry bodies and international counterparts to address cross-market issues.
• Handle ad-hoc projects that support the company's mission of market integrity.

Qualifications & Skills

• Bachelor's degree in Finance, Business, Law, or related disciplines.
• Minimum of 5 years' professional experience in trade surveillance compliance, trading desk compliance/risk management or a comparable role within a regulatory authority.
• Strong understanding of market rules, trading practices, and financial regulations.
• Excellent analytical, problem-solving, and project management skills.
• Ability to manage multiple priorities and adapt to evolving business needs.
• Exceptional communication and presentation skills in both English and Chinese (Cantonese); Putonghua proficiency is a plus.
• Hands-on experience with data analytics and visualization tools (e.g., Power BI, Tableau) is highly desirable.
• Self-motivated, detail-oriented, and capable of working both independently and in a team environment.