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VP - Equities & Prime Compliance

Job Description

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.


  • 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 for a confidential discussion