Equities Compliance Manager

  • Negotiable
  • Hong Kong
  • CDI, Plein-temps
  • The GRACE Recruitment Group
  • 18 sept. 17

1. providing coverage and oversight for Equities - across both cash equities and equity derivatives 2. advising on various regulatory aspects of the Equities businesses, 3. promoting a compliance-oriented culture, 4. advising the respective local compliance officers on regulatory risks to ensure consistency in the regulatory compliance approach 5. providing timely escalation to the Head of Equities RC ASP, the Head of Markets RC, ASP and Equitie

  • To advise, support and guide Regulatory Compliance colleagues within the Asia-Pacific region.

  • To liaise with senior and regional management in order to implement Regulatory Compliance plans agreed with respective Heads of Regulatory Compliance.

  • To advise on regulatory compliance matters as they affect equities sales and trading

  • To provide compliance support and expertise to other business units within Markets when required to do so (e.g. deputise during absence of colleagues).