AVP/VP, Equity Compliance, Boutique US Investment Bank

Job Title: AVP/VP, Equity Compliance, Boutique US Investment Bank
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: LM16880_1505468429
Contact Name: Mudita Valakati
Contact Email:
Job Published: September 15, 2017 17:40

Job Description

Our client is a boutique US Investment Bank with sales & trading, capital markets, financial advisory services, research and brokerage businesses. They are seeking a compliance professional at AVP / VP level to reporting to the Head of Asia Compliance.

Based on the trading floor, responsibilities include but not limited to:

  • Providing timely compliance advice to the sales and trading teams across all business lines including equities, fixed income, investment banking and research
  • Building and maintaining relationships with the front office as well as other internal stakeholders
  • Providing training to the front office on regulatory and compliance matters

Seeking candidate with following qualification, background, experience and skill sets:

  • University degree level with excellent command of English
  • At least 5 years' relevant compliance experience gained from a major international investment bank or brokerage
  • Solid working knowledge of HK securities regulation, in particular relating to Equities. Experience in dealing with compliance and regulatory matters of other Asia jurisdiction will be an advantage
  • Excellent communication skills, proactive, engaging and team work oriented

If you have the right skillsets and experience please contact Mudita Valakati at or +852 3589 6862