Equities Compliance - Global Investment Banks

Key Responsibilities

• Be accountable for the APAC Markets Compliance program
• Provide advice on regulatory interpretation and compliance issues in relation to global markets business
• Handle APAC compliance issues, incident, and breaches in conjunction with various internal parties, where necessary
• Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and firm perspective.
• Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
• Periodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and providing guidance, interpretation and direction to stakeholders.

Requirements

• Minimum 5 years of relevant work experience in the financial services industry in Markets Compliance (Equities)
• In-depth knowledge of APAC regulatory and compliance requirements
• Solid knowledge of Equities products
• Excellent English, ideally with Chinese (Cantonese / Mandarin) language skills
• Team management experience is preferred