Description

CLIENT BACKGROUND
A leading Chinese investment bank with a strong global presence is actively seeking an experienced compliance professional to join its Hong Kong office. Despite being a top-tier institution with robust equities operations, this key role has remained open for some time-making it an exceptional opportunity for candidates ready to step into a high-impact position with visibility and influence.

JOB RESPONSIBILITY
As a VP/Director for Cash Equities Compliance, you will:

• Provide advisory support to front office equities teams on regulatory obligations and internal policies.
• Monitor trading activities to ensure alignment with SFC regulations and global compliance standards.
• Lead or support investigations, surveillance reviews, and regulatory inquiries related to equities trading.
• Collaborate with Legal, Risk, and other control functions to manage compliance risks across the equities business.
• Drive compliance training and awareness initiatives for trading and sales teams.
• Contribute to the development and enhancement of compliance frameworks and controls.

JOB REQUIREMENTS

• Minimum 7 years of compliance experience, ideally within cash equities at a financial institution or regulator.
• Strong understanding of Hong Kong SFC regulations and global equities markets.
• Proven ability to engage with senior stakeholders and front office teams.
• Mandarin language skills are advantageous but not mandatory.
• Self-starter with a proactive mindset and ability to thrive in a fast-paced environment.