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
