Securities Division Compliance – Equities in Hong Kong provides compliance coverage and support to the Division's business units in Hong Kong and across the Asia Ex-Japan region. Divisional Compliance also works closely with other firm departments, such as Legal, Controllers, Credit, Technology, Operations and Internal Audit. This is a trading floor-based compliance function providing real-time support to the equities business. The role also involves driving forward strategic business initiatives and projects.
The Compliance function consists of 5 pillars: advisory and compliance oversight, training, surveillance, policy & procedures and regulatory interface.
Core aspects include:
Primary coverage focused on the OTC derivatives and equities sales and trading businesses in their day to day business operations, new products and market initiatives.
Additional coverage focused on electronic and automated equities trading businesses.
Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the AEJ region in order to assist the firm in avoiding economic, regulatory/legal liability and reputational risk.
Devise and implement strategic solutions with senior compliance management and other control side departments to support the 5 pillars of the team’s function.
Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary.
Conduct regular compliance training for business unit professionals and supervisors.
• Working knowledge in HK and AEJ regional securities regulations, exchange rules on listed securities, futures and derivative.