VP, Markets Compliance

The Company

Our client is a Global Banking Group, with strong presences in Asia, with a long history and established compliance team and culture in HK. As an important part of their Product Compliance Team, they are now looking for a knowledgeable, stable and driven compliance professional to be VP, Markets Compliance. This person will be working in a team of 4ppl, to develop and implement compliance policy and review program covering equities business activities, to provide compliance advisory to their global markets business.

The Role

As a member of their Markets Compliance Team, you will be reporting to the Head of Compliance in HK, responsible for providing compliance advice to their equities / FICC desks, on-going compliance training to front office staff, handling regulator’s (SFC, HKEx, etc) enquiries. You will also be responsible for new product development and undertake projects, sitting in risk & compliance committee meetings.

Your Profile

The successful candidate will be a degree holder in Law or Accounting, with a professional qualification is highly preferable. You will have at least 7 years of equities / products compliance experience in an investment banking environment, with solid experience in different financial products. You will possess excellent presentation and communication skills (Ability to read & write Chinese and English is a MUST), and an ability to deal with all levels of an organization.