Equities Compliance Director

Operating under the guidance of the regulatory division head,within equities compliance team, this collaborative unit oversees governance for the institutional trading and derivatives departments. The group operates with a high degree of autonomy, relying on proactive risk identification, mutual dependability, and a shared dedication to upholding the firm's rigorous ethical standards.

about the job.

• Deliver authoritative guidance on the interpretation of statutory guidelines and potential risk exposures within the designated coverage spectrum.
• Revise and refine internal policy documentation and procedural frameworks to reflect shifting industry standards and operational evolutions.
• Act as the primary point of contact for external governing bodies, skillfully navigating official inquiries and fostering constructive regulatory dialogues.
• Execute meticulous quality control checks on trade surveillance alerts processed by peers, actively seeking avenues to optimise the review lifecycle.
• Perform continuous assessments to guarantee all trading activities remain strictly aligned with fundamental statutory obligations.
• Design and deliver comprehensive onboarding and ongoing educational sessions regarding statutory obligations for fresh recruits and business units.
• Engage in the early stages of novel commercial projects, supplying critical insights on statutory alignment and prevailing industry benchmarks.

skills & experience required.

• Degree qualified, preferably holding a bachelor's in commerce, financial accounting, or jurisprudence.
• Minimum of 8 years of specialised background in governance, internal review, or regulatory enforcement within the broader financial sector or a regulatory body.
• Thorough comprehension of the mechanics behind cash equities, exchange-traded derivatives, and liquidity provision operations.
• Practical proficiency in navigating prominent trade surveillance platforms, specifically the SMARTs system.
• Extensive familiarity with local statutory frameworks, notably the Professional Investor guidelines, HKIDR, and OTCR.
• Exceptional analytical foresight, enabling the rapid detection and upward communication of potential vulnerabilities.
• Fluency in verbal and written English; strong capabilities in Cantonese and Mandarin are highly favoured for regional stakeholder engagement.
• A deeply ingrained sense of accountability, paired with a collaborative spirit and self-driven work ethic.