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Equities Compliance AVP- Award Winning Global Investment BankRobert Walters Hong Kong
  • Others
  • HK$90,000 - 160,000 /month (negotiable)
  • Posted on 13 May 2019
Equities Compliance AVP- Award Winning Global Investment BankRobert Walters Hong Kong
Job Highlights
  • Equities Compliance advisory, Well Known Bank
  • Good work life balance, excellent benefits
  • Diversity, Regional Exposure
Job Description

Top tier Investment Bank looking to make a AVP hire into the Compliance Advisory team. Focus is on equities compliance advisory mostly on cash equities. Regional coverage- Hong Kong based role.

Your main responsibilities includes-

* Advising the equities business on the sale and trading regulatory requirements
* Leading the implementation of new regulations and accordingly developing new policies
* Supporting the implementation of the global and regional regulatory projects on equities business
* Ensuring all relevant procedures and policies are smoothly implemented across the equities business
* Representing and participating in compliance forums as a senior member of the team thereby advising on expectations of the regulators and ways of improving the current compliance framework.
* Building and expanding relationships with regulators through involvement in all regulatory contact related to equities
* Handling regulatory inquiries and investigations

You would meet the following requirements-

* A minimum of 4 years' experience in compliance with a focus on equities advisory within an investment bank
* Strong knowledge of equities trading business and related products, exposure to regional equities derivatives would be an advantage
* Excellent communication skills in English
* Strong understanding of Hong Kong/Singapore/China regulations across equities
* Ability to build relationships and manage stakeholders in a professional way is necessary for this role

Additional Information
Career Level
Years of Experience
Employment Type
Full Time, Permanent
Company details
Robert Walters is one of the world's leading global specialist recruitment consultancies. The Robert Walters brand stands for innovation, vision and leadership in the global recruitment market.

Robert Walters specialises in permanent and contract recruitment across all industry sectors and all levels of seniority, and count the world's leading investment banks, multinational blue-chip commercial organisations and innovative SMEs as clients. Our international network and global brand presence, along with our unrivalled professionalism and specialist knowledge, ensure that we offer only the highest quality of service to both our clients and candidates.

Established in London in 1985, the Group now operates across 28 countries. Robert Walters' Hong Kong office specialises in accounting & finance, banking & financial services, human resources & business support, information technology, legal & compliance, sales & marketing, as well as supply chain, logistics & procurement.

An award-winning business, Robert Walters has a proven track record of providing high quality recruitment services, and our success is further endorsed by the many awards we have won over the years.

For more information about Robert Walters Hong Kong, please visit