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Equities Compliance - Global Investment Banks | HK Talent Engage
Published 2023-06-02 00:00:00
Job description
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
Job particulars
- Job source
- eFinancialCareers
- Job reference
- 18340218
- Date published
- 02 Jun 2023
- Job keywords
- Compliance/Legal,Compliance Regulatory,Trading,Equities,Fixed Income