We are seeking a highly motivated and experienced professional for the role of Markets Compliance Vice President, based in Hong Kong. This role sits within the compliance function and focuses on ensuring adherence to regulatory requirements and internal policies across our equities (EQ) trading and sales businesses. The successful candidate will support and advise front office personnel on day-to-day compliance matters related to equity markets, including trade surveillance, regulatory change implementation, and compliance assurance activities.
The Vice President will be responsible for monitoring equity trading activities to ensure compliance with local and international regulations, identifying potential risks, and implementing controls to mitigate them. This position requires a solid understanding of the equities business, trading platforms, Hong Kong SFC regulatory framework, and other regional market requirements. The ideal candidate will work closely with internal departments such as Legal, Risk, Internal Audit, and other Compliance teams, contributing to the broader compliance strategy and fostering a positive compliance culture within the organisation.
Key responsibilities include providing timely and accurate compliance advice on trading activities, participating in the interpretation and implementation of new regulatory requirements, and supporting internal policies and procedures related to trading practices. You will also be responsible for contributing to regional and global compliance initiatives and projects, coordinating with colleagues in other locations on cross-border issues, and delivering regulatory training to business units when required.
The ideal candidate must possess a minimum of 7 years' relevant experience in compliance within the financial services sector, with a strong emphasis on equities market compliance. Sound knowledge of Hong Kong regulatory expectations, including SFO, Code of Conduct, and relevant SFC circulars, is essential. Familiarity with electronic trading systems and market abuse risk surveillance will be highly advantageous. Strong analytical, communication, and problem-solving skills are required, as well as the ability to manage multiple tasks and deadlines in a fast-paced environment.
A university degree in Law, Finance, or a related discipline is required. Professional qualifications such as CAMS or CPA are advantageous but not mandatory. Fluency in English is required, and Cantonese or Mandarin language skills would be beneficial given the regional nature of the role. The successful candidate should demonstrate high ethical standards and the ability to make sound judgements independently. This is an excellent opportunity for an individual with a passion for market integrity and regulatory excellence to advance their career within a dynamic and supportive environment.
Salary is competitive and offered in HKD, commensurate with experience and qualifications. Applicants should be based in Hong Kong or willing to relocate.