International Investment Bank - VP/Associate Director, Equities Compliance

Company Overview

The bank is Asia's leading capital markets and investment group, providing global investors with insights, liquidity and capital to drive their investment strategies. Award-winning research, an extensive Asia footprint, direct links to China and highly experienced finance professionals differentiate our innovative products and services in asset management, corporate finance, equity and debt capital markets, securities and wealth management. The bank is an international platform of one of China's largest investment banks, hence the firm is uniquely positioned to facilitate cross-border capital flows and connect China with the world and the world to China. The bank is headquartered in Hong Kong and operates from 20 cities across Asia, Australia, Europe and the United States.

Position Title: Associate Director, Equities Compliance

Job location: Hong Kong

Position Description

This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to the banks Institutional Equities (Sales and Trading) Business and Equities Derivatives Department.

Key Areas of Responsibilities

• Provide advice on regulatory interpretation and compliance issues in the coverage area
• Participate to the update of compliance manuals of procedures in light of regulatory or business changes.
• Handle regulatory enquiries and manage relationship with regulators.
• Conduct quality review of SMARTs monitoring review by other compliance officers. Look for area of improvements of the review process
• Conduct monitoring to assess business's ongoing compliance with key compliance requirements.
• Provide training to new hire employees and business
• Participate in new business initiatives, to provide input on relevant regulatory requirements and best practice in the industry

Requirements

• University graduate or equivalent degree preferred, ideally in business, accounting or law
• Minimum 8 years of relevant work experience in the financial services industry in Compliance or internal audit and/or with a securities exchange or regulator
• Good working knowledge of cash equities, listed derivatives and market making activities
• Sound working knowledge of SMARTs surveillance system
• Good understanding of Hong Kong regulatory requirements, in particular, Professional Investor regime and HKIDR & OTCR
• The ability to identify risks in order to proactively escalate to managers in a timely manner
• Able to communicate efficiently and effectively, fluent English, Cantonese and Mandarin (advantageous)
• Demonstrate team working ability, is dependable and self-motivated with ownership mentality