Associate Director - Director, Equities Compliance

Posted 22 days ago Permanent Competitive

Our client is a leading international investment bank providing global markets, investment, and other capital markets services across the region.

Responsibilities:

Provide guidance on regulatory interpretation and coverage-area compliance issues.
Review and advise on local regulatory and best-practice considerations for new business and infrastructure initiatives.
Assess compliance procedures to ensure they are current and updated as required; develop new procedures in response to regulatory or business changes.
Support team members by advising on compliance monitoring activities to confirm ongoing adherence to key compliance requirements.
Handle regulatory inquiries and manage relationships with regulators.
Deliver training to business units.

Requirements:

Degree holder with at least 8 years of experience in compliance within financial services industry, investment banking and/or regulatory bodies.
Sound working knowledge of cash equities and equities derivatives business.
Familiar with local statutory frameworks, including the Professional Investor Rules, HKIDR, and OTCR.
Fluent in English, Cantonese and Mandarin.

Job ID JN -082026-2006694

Please Stay Alert to Potential Scams

We would like to remind you that eFinancialCareers is a job board and does not conduct hiring or ask for payment or any financial details as part of the job application process.

If you receive any suspicious messages claiming to be from us or a hiring company, we urge you not to click on any links and not to reply to the message itself.

Instead, please report the message to our support team at support@efinancialcareers.com.

It is advisable to always verify job offers directly with the hiring company.

ABOUT COMPANY

Morgan McKinley - Hong Kong

Hong Kong

48 Employees HR & Recruitment

Morgan McKinley has been successfully connecting talented candidates with career opportunities for over 30 years. It’s in our DNA to Go Beyond – above...

More Jobs From Morgan McKinley