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Published 1 week ago

AVP, Equities Compliance

Pure Hong Kong

Job Description

Position Overview

My client is seeking for dynamic and driven AVP, Equities Compliance to join a global investment bank. This role will be pivotal in ensuring compliance with regulatory requirements and maintaining the integrity of our trading environments. The ideal candidate will possess strong knowledge of equities products and a deep understanding of various financial products.

Key Responsibilities

  • Report to the Head of Compliance in Hong Kong, providing compliance advice to equities and proprietary trading desk
  • Conduct ongoing compliance training for front office staff.
  • Handle inquiries from regulators such as the SFC and HKEx.
  • Oversee new product development and participate in risk and compliance

Requirements:

    • Bachelor’s degree in finance, Mathematics, Statistics, or a related field; advanced degree or relevant certifications (e.g., CFA, CIMA) preferred.
    • Minimum of 5 years of experience in markets compliance within a financial services environment.
    • Deep understanding of various financial products, including equities, fixed income, derivatives, and foreign exchange.
    • Exceptional analytical and problem-solving skills with the ability to interpret complex data and trends.
    • Strong verbal and written communication skills, with the ability to present findings clearly and effectively.
    • High level of accuracy and attention to detail in all aspects of work.

Job Particulars

Job source
eFinancialCareers
Job reference
23315076
Date published
24 Nov 2025
Job keywords
Compliance/Legal, Compliance Regulatory, Equities, Other
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