Feb 14, 2018

Investment Bank: Vice President/Executive Director, Equity Compliance

  • Financial Services
  • Hong Kong
Compliance Securities

Job Description

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.


Basic Qualifications:

  • 4-5 years of compliance, legal, audit or other control function experience covering Equities trading;
  • Strong analytical skills and ability to exercise judgment and manage execution under pressure.
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Good interpersonal skills and excellent written communication skills.
  • Ability to work with a variety of senior and junior people, and build smooth working relationships;
  • Highest attention to detail.
  • Good team player - one who is able to prioritise in a fast-moving, constantly changing environment.
  • Entrepreneurial inclination - ability to work alone and act as project manager.
  • Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.


Preferred Qualifications:

• Working knowledge in HK and AEJ regional securities regulations, exchange rules on listed securities, futures and derivative.


Vice President

Years of Experience


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