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Equities Compliance VP

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    4 months ago

  • Expiry date:


  • Startdate:


My client is a tier-one investment bank headquartered in UK. They provide full suite of financial products and services across equities, credit, rates and FX, also securitised products. They are currently looking for a mid to senior level equities compliance VP to handle all Equities Markets businesses including Prime, QPS, Delta One, SBL, Equities Derivatives Sales & Trading.

This is a newly opened position to meet the compliance needs of the fast-growing APAC market. The role would be directly reported to Head of APAC Markets Compliance. You will be working closely with other compliance bodies to ensure compliance with the local laws, rules and regulations.



  • Advice the equities business unit including EFG, EFS and Electronic Trading businesses lines on regulatory rules and policy positioning.
  • Work closely with the senior management for devising and implementing policies and strategies on regulatory issues for the Equities Business areas.
  • Assist in developing and drafting of specific desk procedures and management information initiatives.
  • Work closely with regulatory/ country compliance on regulatory inquiries and exchange inquiries.
  • Lead the completion of the regular compliance verification checks.
  • Lead the development and the roll-out of bespoke training in relation to matters of remediation and compliance policies.



  • University degree holder.
  • Minimum 5 years experience in equities compliance.
  • Experience in developing equities related policies, assessing risks, implementing procedures, training, monitoring and review.
  • Strong communication skills, ability to work with internal and external parties.
  • Solid knowledge of equities products, with particular focus on electronic trading and associated regulation
  • Knowledge of APAC market trading rules, specifically Asia ID markets and China QFII would be a plus


For interested parties, please contact Winifred at +852 2777 6277 or for further discussions.