Risk Management and Regulatory Affairs

5 days ago


Hong Kong Island, Hong Kong SAR China Larson Maddox Full time
Seniority Level: DirectorEmployment Type: Full-time

This is a senior-level position that requires a high level of expertise and experience in equities trading compliance.

Responsibilities:
  • Lead the Equities Advisory Compliance function.
  • Develop and maintain knowledge of HKEX and SFC regulations.
  • Collaborate with internal stakeholders to achieve business objectives.
  • Identify and mitigate compliance risks associated with equities trading activities.


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