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Your new company Your new company is a renowned corporate and investment bank across the globe with strong investment banking capabilities across equities, fixed income and prime derivatives services. A new job opportunity has arisen within the Global Markets Compliance division that tailors for a seasoned Equities Compliance professional (AVP/VP) with key focus on prime derivatives services that are in operation within the Equities, and FICC division.
Your new role
Provide, when required, daily transaction compliance advisory to the Hong Kong/ APAC Prime derivatives Services regarding to bank's policy, relevant regulatory requirements, and industry best practice.
Reporting to the Head of Prime Derivatives Services Compliance, with key focuses on Prime Services platform, which includes Delta1, execution, funding, SBL, F&O and clearing, and also Equity Derivatives Structuring which includes corporate derivatives and retail structured products.
To support and, where required, enhance the compliance control framework in relation to the futures execution and clearing and OTC swap clearing business within Prime Derivatives Services.
Ownership of and contribution to various regulatory/ new business initiatives projects, working with hands on approach to ensure successful completion.
Involvement in compliance training for prime services personnel.
Building strong working relationships with key stakeholder groups including but not limited to Markets Compliance, Markets Business and Equities Surveillance lead.
Frequent collaborations and communications with SFC in respect to regulatory inquiries.
What you'll need to succeed You will have:
At least 8 years' experience in Investment Banking Compliance Advisory with excellent product knowledge across the Equities product range.
You will come across highly consultative with strong communications skills to liaise with business/ internal compliance officers across different functions.
Up-beat and comfortable working at a fast-pace environment (prior trading floor experience is a plus)
Previous experience of Middle office (Prime finance) would be an advantage though not essential.
Strong command of English and Chinese are essential.
What you need to do now If you identify with the above description, please send your CV and an expression of interest today to firstname.lastname@example.org. For a confidential discussion, please contact Charlene Yeung on +852 2230 7933. If you are interested in other global markets compliance opportunity. please also get in touch to learn more about other openings.