Company Overview:
Our client is one of the world's largest investment banks with a strong global presence. They are currently seeking a highly skilled Director of Equities Advisory Compliance to join their team. This role offers the opportunity to provide proactive compliance advisory services and manage regulatory requirements with a focus on HKEX and SFC regulations.
Key Responsibilities:
- Lead the Equities Advisory Compliance function, providing expert guidance on compliance matters related to equities trading.
- Proactively interpret and apply HKEX and SFC regulations to ensure the firm's activities align with legal requirements.
- Collaborate with internal stakeholders to develop and implement compliance strategies and initiatives.
- Conduct thorough reviews of equities advisory activities to identify and mitigate compliance risks.
- Stay updated on regulatory developments and industry trends impacting equities trading compliance.
- Act as the primary point of contact for HKEX and SFC regulatory inquiries and audits.
Requirements:
- Bachelor's degree or higher in finance, law, or a related field.
- Extensive experience in equities compliance within the financial services industry.
- In-depth knowledge of HKEX and SFC regulations related to equities trading.
- Proven track record of providing compliance advisory services in a fast-paced environment.
- Strong communication and interpersonal skills with the ability to collaborate effectively with stakeholders.
- Ability to interpret complex regulatory requirements and provide practical solutions.
- Strategic mindset with the capability to drive compliance initiatives and manage regulatory relationships effectively.
