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Regional Equities Compliance Head

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time
Job Title: Regional Equities Compliance Head

Harbridge Partners is seeking a seasoned compliance professional to lead our Equities Compliance team in Asia Pacific. As Regional Equities Compliance Head, you will be responsible for providing guidance and advice to our Equities business on regulatory matters, developing and implementing compliance policies and procedures, and maintaining our compliance risk management frameworks.

Key Responsibilities:
  • Provide regulatory interpretation and compliance advice to the Equities business
  • Develop and deliver proactive strategies to support compliance and business objectives
  • Review and lead new business initiatives from a regulatory and best practice perspective
  • Develop and implement new compliance policies and procedures
  • Provide training to Equities Division staff on compliance matters
  • Lead communications with industry participants to ensure appropriateness and consistency
  • Monitor regulatory developments and trends, and help develop and manage our Firm's contact and relationship with regulators
  • Investigate and assist with regulatory inquiries, audits, and examinations
Requirements:
  • Prior team management experience
  • At least 10 years regional Asia Pacific compliance experience with a focus on equities products
  • Strong knowledge of regulatory requirements and best practices in the APAC region
  • Excellent communication and interpersonal skills
About Harbridge Partners:

Harbridge Partners is a leading financial services firm with a strong presence in Asia Pacific. We are committed to delivering exceptional service to our clients and maintaining the highest standards of compliance and risk management.