Equities Compliance - Global Investment Bank

Responsibilities

• Provide advisory on regulatory interpretation and compliance issues within the Derivatives business in HK and Greater China market
• Review new business initiatives from a local and international regulatory as well as Firm perspective
• Review compliance policies and procedures to ensure consistency and raise complaince standards
• Identify potential risk aspects and lead independent review, and monitor business and supervisory practice
• Develop training materials and provide training to Institutional Equity staff
• Participate in communications with industry professionals
• Assist on maintaining relationship with regulators and ensuring constructive conversations

Requirements

• Bachelor degree in Business, Accounting, Law or any relevant discipline
• At least 3 years of work experience in investment banks or global markets as a Compliance or Internal Audit professional, also open to candidates with securities exchange or regulator
• Knowledge of HK and China regulatory and compliance requirements
• Knowledge of Retail Structured Products, Listed and OTC Derivatives, market making and principal hedging activities
• Sound risk and control mindset
• Good communication skills in English, fluency in Mandarin is advantageous
• Immediate availability is preferred