Equities Compliance Lead, Leading Global Bank

Job Title: Equities Compliance Lead, Leading Global Bank
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: SW 18325_1552876116
Contact Name: Audrey Chang
Contact Email:
Job Published: March 18, 2019 10:28

Job Description

Leading global bank is seeking an experienced compliance professional to be part of the regional equities compliance team. In this newly created role, you will be reporting to the Regional Head of Equities Compliance - responsibilities will include providing compliance advice to a wide range of equities businesses including cash equities and equity derivatives. You will also be responsible for liaising with regulators (such as SFC, HKEx) for any related matters, such as any regulatory enquiries. This will be a broad and visible role.

The successful candidate will possess a minimum of 10 years of relevant experience gained primarily in the equities compliance space. Excellent communication and interpersonal skills are required - this role will interact with senior business stakeholders. Strong Hong Kong equities compliance experience/knowledge will be required, with any regional exposure advantageous.

Interested candidate should contact Sonny Wong at for a confidential discussion.