VP, Equities Compliance

Responsibilities:

• Partner on a daily basis with equity derivatives and prime brokerage desks, covering swap trading, hedging strategies, stock financing, capital mobilization, and external trading arrangements.
• Provide real-time advisory support on foreign ownership ceilings, eligible investor categories, beneficial ownership reporting, and recurring regulatory submissions for select restricted markets across APAC.
• Review trade activity that may approach or exceed local investment thresholds or sector caps, including synthetic structures such as total return swaps and futures.
• Assess the permissibility of synthetic market access linked to restricted securities under both local and extraterritorial regulatory frameworks.
• Collaborate with operations and middle office teams to ensure accurate issuer classification, restricted list management, and automated limit monitoring.
• Monitor trading activity for potential market abuse, anomalous patterns, information leakage, or restricted list violations, particularly during market closure windows or quota-driven scenarios.
• Assist in calibrating surveillance models and alerts alongside global monitoring teams to address unique market events, such as price spikes or sudden volume changes.
• Investigate compliance escalations, ensuring timely resolution, proper documentation, and appropriate reporting.
• Maintain and update regional policies governing derivatives trading, synthetic exposure, and foreign investor participation.
• Track regulatory developments from Indian, Taiwanese, Korean, and Chinese authorities, translating changes into actionable business guidance.
• Support regulatory examinations, data requests, and inspections related to trading activity and market conduct.
• Deliver practical training on restricted market access, limit monitoring, information barriers, and conduct-related risks.
• Provide compliance clearance for new product approvals, trading platform enhancements, and business expansion into new strategies or jurisdictions.

Requirements:

• Bachelor's degree required; background in law, finance, or risk management preferred.
• Minimum of eight years of experience in compliance, regulatory affairs, or risk management within investment banking or capital markets.
• Demonstrated hands-on knowledge of delta-one products, prime services, equity swaps, financing desks, or outsourced trading arrangements.
• Working knowledge of regulatory frameworks, including SEBI/RBI (India), FSC/TWSE (Taiwan), FSS/KRX (Korea), or CSRC/SSE/SZSE (China).
• Prior experience sitting alongside or directly advising trading desks.
• Ability to manage multiple time-sensitive regulatory matters across different jurisdictions and time zones.
• Strong judgment, exceptional attention to detail, and demonstrated ability to translate complex rules into clear, operationally feasible guidance.