Regional Head Compliance, Boutique US Investment Bank
Our client is a boutique US Investment Bank with sales & trading, capital markets and financial advisory services, research and brokerage businesses. We are seeking a senior and experienced compliance professional to lead their Asia Compliance team, manage the compliance function and team members throughout the region and provide high level support to senior management.
Ideal candidate will have regional exposure to regulators (with a primary focus on the SFC), sales and trading floor experience and excellent stakeholder influencing skills. A focus on equities preferred.
Interested candidates should be able to demonstrate the following:
- A track record in Compliance and at least 10 - 15 years of experience.
- Build and maintain strong relationships with local and global counterparts
- Maintain regulatory and exchange relationships
- Ability to identify potential areas of compliance vulnerability and risk; developing/implementing corrective action plans for resolution of problematic issues, and providing preventive measures
- Excellent communication and interpersonal skills
For further details on this and similar positions and to have a confidential discussion please contact Sonny Wong at firstname.lastname@example.org or +852 3589 6804.