Compliance Expert

4 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

**Job Overview**

Larson Maddox is seeking an experienced Compliance Vice President to oversee our equities compliance program. The ideal candidate will have at least 5 years of experience in compliance within the financial services sector.

Responsibilities:

  • Develop, implement, and maintain comprehensive compliance policies and procedures for cash equities and derivatives.
  • Analyze regulatory changes impacting the business and ensure timely updates to compliance frameworks.
  • Conduct regular compliance reviews and audits to ensure adherence to internal policies and external regulations.
  • Provide guidance and support to business units on compliance matters, including trade surveillance and reporting.
  • Collaborate with legal and risk management teams to ensure comprehensive compliance coverage.
  • Promote a culture of compliance through training programs for staff.
  • Liaise with regulatory authorities and manage compliance-related inquiries and audits.

Requirements:

  • Bachelor's degree in Finance, Business, Law, or a related field; advanced degree or relevant certifications preferred.
  • Minimum of 5 years of experience in compliance, preferably within cash equities and derivatives.
  • Strong understanding of relevant regulations and compliance requirements in the financial services industry.
  • Excellent analytical and problem-solving skills with attention to detail.
  • Proven ability to communicate effectively with stakeholders at all levels.
  • Proficiency in compliance monitoring tools and trade surveillance systems.

The estimated salary range for this position is $120,000 - $180,000 per year, depending on qualifications and location. We offer a competitive benefits package and opportunities for professional growth and development.

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