Director, Equities Compliance – Top-Tier Investment Bank

Hong Kong

• Excellent career progression
• Attractive remuneration package

Our client is one of the leading banks in the world with a privileged position in the region.   A need has arisen within the Regional Compliance Team function for a seasoned Compliance candidate with good exposure to the China market.

Reporting to the Regional Head of Compliance, you will be fully responsible for:

• Assisting management with compliance responsibility for equities products' clearing and relevant projects
• Providing advice on regulatory compliance issues, desk reviews and monitoring eg. China, Taiwan, Korea 
• Supporting management in reviewing new business initiatives from a local regulatory, best practice and Firm perspective
• Offering assistance to revise and update documentations in light of regulatory or business changes
• Developing and managing the Firm’s contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive
• Providing compliance training to relevant staff

The Successful Applicant

You will be a University Graduate holding a degree in law and/or economics preferred with at least 5 years experience gained within a financial services compliance function.  You will possess sound knowledge of equities (cash or derivatives) products and regulatory laws and have strong communication, analytical and leadership skills. Hands on experience with China QFII and Taiwan FINI highly advantageous.  Fluency in English and Mandarin, both written and spoken is essential.  

Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.

(WS/7743)