• Looking for secondary markets compliance bkgd !
• Open to wealth management, equities, FICC compliance background !

About Our Client

My client is a Hong Kong based securities firm providing securities, investment banking, wealth management, asset management, and cross-border capital market services. They have about 200 staff in their HK office.

Job Description

As a Compliance Director, your main responsibilities will include:

• Developing and implementing compliance frameworks for secondary market operations.
• Ensuring the organisation adheres to all relevant regulatory requirements.
• Conducting regular compliance risk assessments and audits.
• Providing expert advice and guidance on compliance issues to internal teams.
• Overseeing the preparation and submission of regulatory reports.
• Monitoring and evaluating changes in regulatory policies and their implications.
• Collaborating with stakeholders to ensure compliance goals are achieved.
• Managing compliance training programmes for staff.

The Successful Applicant

A successful Compliance Director should have:

• Looking for product compliance experience within wealth management, equities, and/or FICC.
• Proven expertise in secondary market compliance matters.
• Excellent analytical and problem-solving skills.
• Experience in liaising with regulatory bodies.
• Strong communication and leadership abilities.
• A degree in Law, Finance, or a related field.

What's on Offer

• senior leadership role
• broad exposure to products
• large platform

If you are ready to take on this role, we encourage you to apply.