VP, Equity Compliance, Boutique US Investment Bank

Job Title: VP, Equity Compliance, Boutique US Investment Bank
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: LM16880_1509955338
Contact Name: Mudita Valakati
Contact Email:
Job Published: November 06, 2017 16:02

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 an experienced compliance professional 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 7 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 Laurence Munoz at or +852 3589 6326