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Senior Manager - Equities Compliance Advisory (Global Bank)

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Stephanie Lui

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    4 months ago

  • Expiry date:


My client is one of the Global Investment Banks with APAC presense in Hong Kong and Singapore. They are currently hiring a Senior Manager for Equities Compliance team with coverage in Equities Derivatives, Cash Equities and Distribution etc. 


You will work closely with other compliance functions such as Central Compliance, Regulatory Compliance, Control Room and Trade Surveillance in an effort to seamlessly oversee the business activities of Asia Non Japan Markets. 


In addition to an effort to ensure compliance with the local laws, rules and regulations, you make every effort to ensure that the group-wide standards incorporating the industry’s best practice standards and applicable offshore and cross-border laws, rules, regulations and ethical standards are adhered to.  



  • Experience in stakeholder management on regulatory, conduct and reputational issues and in devising and progressing on solution for issues.
  • Experience of influencing business stakeholders relating to regulatory matters and how to achieve successful outcomes.
  • Strong track record of successful performance in Compliance in an investment bank or similar regulatory role at an investment exchange or financial regulator.
  • Strong sense of accountability and ownership


Please send your CV to or apply here.