VP, Equities Compliance - Leading European Bank

  • Up to $1.35 Million
  • Hong Kong
  • Permanent, Full time
  • Eames Consulting Hong Kong , EA Licence No: 16S8091
  • 11 Nov 18

Looking for a seasoned VP who is an expert in Equities Compliance, products and regulations across the Asia region.


  • Undertake analysis of complex regulatory proposals, including consultation papers issued by regulators and other changes to regulation arising from Regional and Global Regulators (e.g. MIFID, Dodd Frank etc.) and provide concise advice to the “Equities Business areas”. 
  • In conjunction with Senior Management, devise and implement a strategy for the Equities Business areas to deliver successful outcomes in relation to regulatory issues through trusted relationships and timely engagement.
  • Act as Group lead on assigned regulatory issues, creating governance and working group structures to develop views on thematic challenges and on specific regulatory issues.
  • Establish trusted advisory relationships with and provide advice to business Managing Directors, and provide regulatory advice in support of business objectives.
  • Analyse complex regulatory issues arising through new regulation and respond to external stakeholders such as Regulators and other third Party stakeholders.
  • Identify key regulatory issues which have potential for significant Inherent Risk and perform detailed analysis through the timely and detailed completion of the Conduct Relevant Risk Assessments (CRA and RCSA) in conjunction with global counterparts
  • As required through the change in the regulatory landscape, working closely with Senior Management within Equities Business areas, develop and contribute to drafting of specific desk procedures and development management information initiatives



  • Strong track record of successful performance in Compliance in an investment bank or similar regulatory role at an investment exchange or financial regulator.
  • Strong knowledge of relevant MiFID/EMIR and Dodd-Frank rules and how they impact APAC, or ability to learn them.
  • Excellent, in-depth knowledge of APAC regulation. Comprehensive knowledge of Compliance policies relevant to assigned business areas.
  • Extensive experience of working in a Compliance Trading Floor environment.
  • Detailed knowledge of Equities Products and the marketing and distribution of such products to institutional and intermediary counterparties targeting retail markets,
  • Experience of developing to a high quality level policy, assessing risks, implementing procedures, training, monitoring and review.
  • Experience in developing and delivering high quality training on regulatory matters.
  • Confident, excellent communication skills, ability to interact and work closely with senior business heads.
  • Strong leadership and project management skills.