Equities Compliance AVP

Job Overview My client is seeking a dynamic and driven AVP, Equities Compliance to join a global investment bank. This role will be pivotal in ensuring compliance with regulatory requirements and maintaining the integrity of our trading environments. The ideal candidate will possess strong knowledge of equities products and a deep understanding of various...

AVP, Assistant Relationship Manager, Equity Sales & Derivatives AVP, Assistant Relationship Manager, Equity Sales & Derivatives Key Accountabilities Assist sales personnel in placing orders & following up on post‑order matters; Perform KYC and AML check on customer account documentation to ensure compliance with rules and regulations; Administer ongoing...

Assistant VP (Equity Compliance) - Pure Hong Kong My client is seeking for dynamic and driven AVP, Equities Compliance to join a global investment bank. This role will be pivotal in ensuring compliance with regulatory requirements and maintaining the integrity of our trading environments. The ideal candidate will possess strong knowledge of equities products...

A leading investment bank is seeking an Associate/AVP in Equity Sales & Derivatives to process trade orders and ensure smooth daily operations. Ideal candidates have over 5 years of relevant experience and knowledge in trading regulations. Responsibilities include managing trade orders, operating trading systems, and undertaking ad hoc projects. This role...

Associate/AVP, Dealer, Equity Sales & Derivatives Join to apply for the Associate/AVP, Dealer, Equity Sales & Derivatives role at BOCI . Processing trade orders in local and global equities; Responsible for daily dealing operation; Operate and monitor various trading systems; Perform ad hoc projects assigned. Skills & Experience Experience in ET Trade Speed...

VP / AVP, Private Equity Investment, FIG About the job VP / AVP, Private Equity Investment, FIG King Deux Search & Consulting is a specialised executive search firm which offers bespoke talent solutions across financial services and commerce. We are committed to not only finding the right opportunity for our candidates but also leaving a legacy that lives on...

Position Overview My client is seeking for dynamic and driven AVP, Equities Compliance to join a global investment bank. This role will be pivotal in ensuring compliance with regulatory requirements and maintaining the integrity of our trading environments. The ideal candidate will possess strong knowledge of equities products and a deep understanding of...

A leading investment bank in Asia is seeking an AVP/VP, Relationship Manager, for Equity Sales & Derivatives in Hong Kong. The role involves developing high-net-worth clients and providing expert wealth management advice. Ideal candidates will have 4-6 years of experience in wealth management, a solid understanding of relevant financial products, and strong...

AVP, AML and Sanctions Compliance, Legal and Compliance Add expected salary to your profile for insights Key Accountabilities Assist the Head of AML Compliance to implement and maintain BOCI Group's AML/CFT Program; Provide compliance advice / recommendations to different business units, including Investment Banking Department (IBD), Equity Sales and...

AVP/VP, Equity Settlement, Business Operations Add expected salary to your profile for insights AVP/VP, Equity Settlement, Business Operations Key Accountabilities To manage, monitor and assist for Global Equity Settlement on daily business support. Products to cover include but not limited to Global Equities, Stock borrowing & lending, Stock Option Plan for...