Our client is one of the world's largest and most respected financial institutions who is currently looking for a VP - Equities & Prime Compliance to be a part of their APAC Equities Compliance team with about 4 professionals based in Hong Kong.

Responsibilities:

• Provide equities compliance advisory with focus on e-trading in equities & prime
• As an equities compliance representative - you will be reviewing, approving, checking and challenging e-trading initiatives, changes, providing compliance governance oversight in equities and prime e-trading
• Conducting verification checks to assess compliance with internal and regulatory and control requirements
• Working with the business to establish appropriate controls for effective compliance risk management
• Participating in the development and review of business related and compliance owned policies and procedures
• Assisting with collation of information and drafting responses in relation to regulatory inquiries

Skills & Requirements:

• Excellent product knowledge in equities, prime brokerage with solid exposure to e-trading compliance issues
• At least 7+ years of relevant working experience
• Excellent verbal and written communications, good interpersonal, influencing and negotiation skills
• Knowledge of key global and/ or APAC regulatory rules and regulations

If interested, please click "Apply" above and please contact JJ How via jj.how@oliverjames.com for a confidential discussion