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