Associate Director - Director, Equities Compliance

Posted 2 months ago Permanent Competitive

Our client is a leading international investment bank providing global markets, investment, and other capital markets services across the region.

Responsibilities:

Provide guidance on regulatory interpretation and coverage-area compliance issues.
Review and advise on local regulatory and best-practice considerations for new business and infrastructure initiatives.
Assess compliance procedures to ensure they are current and updated as required; develop new procedures in response to regulatory or business changes.
Support team members by advising on compliance monitoring activities to confirm ongoing adherence to key compliance requirements.
Handle regulatory inquiries and manage relationships with regulators.
Deliver training to business units.

Requirements:

Degree holder with at least 8 years of experience in compliance within financial services industry, investment banking and/or regulatory bodies.
Sound working knowledge of cash equities and equities derivatives business.
Familiar with local statutory frameworks, including the Professional Investor Rules, HKIDR, and OTCR.
Fluent in English, Cantonese and Mandarin.

Job ID JN -082026-2006694

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Morgan McKinley - Hong Kong

Hong Kong

48 Employees HR & Recruitment

Morgan McKinley has been successfully connecting talented candidates with career opportunities for over 30 years. It’s in our DNA to Go Beyond – above...

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