Director, Equity
2 months ago
Director, Equity & Equity Derivatives Compliance, Asia Pacific
Compliance Permanent contract Hong Kong, Hong Kong Reference 24000K20 Start date Immediately Publication date 2024/09/09
Responsibilities
Reports to: APAC Regional Head of Global Markets Compliance
Job Description
To support in advising and overseeing the Equities & Equity Derivatives business with respect to their management of regulatory and reputational risk.Key Roles and Responsibilities
Based in Hong Kong, the incumbent will be responsible for:
Advising Business from both sales and trading sides on day-to-day compliance related matters relating to the business line in relation to the APAC markets Providing advice on new product and new business structures Updating Business on regulatory changes Liaising with compliance officers in the region on business activities conducted across different countries Handling regulatory inquiries Handling complaints Reviewing marketing materials Assisting in the review and submission of regulatory reports Assisting in handling various compliance projects Assisting in development and maintenance of compliance policies and procedures where necessary Conducting periodic compliance review for the business line Promoting compliance awareness and culture within the business line and providing compliance training to the business line Carrying out other compliance related duties as instructed by global/regional and Head of Compliance from time to time
Profile required
Degree qualified with compliance experience obtained within the investment banking/securities business Excellent equities / equities derivatives floor-based compliance experience or equivalent experience in the APAC markets Excellent knowledge of rules and regulations related to equities and equity derivatives in APAC markets Excellent communication skills Fluent in English and Chinese. Fluency in Putonghua is an advantage, but not prerequisite A fast-learner and a self-starter Have attention to details Independent and self-motivated Good team player Able to work under pressureBehavioral Skills
Innovation - Thinking out of the box/Creativity: I encourage and demonstrate positive out of the box thinking Team Spirit - Open mindset/Respect: I listen and share my views and my expertise in an open mode Responsibility - Risk awareness: I am constantly on the lookout for risks Client - Risk: I strive to satisfy clients/internal partners while taking into account risks for the company Commitment - Care: I listen and demonstrate emotional intelligence to engage my team Responsibility - Performance: I strive to generate high individual and collective performanceHKMA Enhanced Competency Framework (ECF) certification is preferred
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