Associate Director - Director, Equities Compliance

Our client is a leading international investment bank providing global markets, investment, and other capital markets services across the region.

Responsibilities:

• Provide guidance on regulatory interpretation and coverage-area compliance issues.
• Review and advise on local regulatory and best-practice considerations for new business and infrastructure initiatives.
• Assess compliance procedures to ensure they are current and updated as required; develop new procedures in response to regulatory or business changes.
• Support team members by advising on compliance monitoring activities to confirm ongoing adherence to key compliance requirements.
• Handle regulatory inquiries and manage relationships with regulators.
• Deliver training to business units.

Requirements:

• Degree holder with at least 8 years of experience in compliance within financial services industry, investment banking and/or regulatory bodies.
• Sound working knowledge of cash equities and equities derivatives business.
• Familiar with local statutory frameworks, including the Professional Investor Rules, HKIDR, and OTCR.
• Fluent in English, Cantonese and Mandarin.