Director, Equities Compliance

Taylor Root Hong Kong
Hong Kong
HKD130000 - HKD180000 per month + Discretionary Bonus
08 Aug 2017
14 Aug 2017
Contract Type

Providing advisory support to the Equity Derivatives businesses:

  • Work in a front office advisory role within Global Markets Compliance.
  • Primarily cover equities desks including Prime Services, Equity Finance and Equity Derivatives.
  • Draft a Structured Products Handbook to be used by Structuring, Sales and Trading following the thematic review on structured products.
  • Undertake a review of the Short Selling Regulations and conducted a gap analysis against industry best practices. In the process of implementing an automated locate file which will feed the short selling monitoring and surveillance system
  • Revisited the trade reporting rules and implemented automated solutions with built in logic for traders, thereby reducing significantly the number of trade reporting queries from the Exchanges.
  • Implemented compliance systems and controls to mitigate conflicts within the Transition Management business
  • Provide bespoke training to front office staff to ensure compliance with Rules and Regulations.
  • Deliver regulatory impact statements on an ongoing basis.
  • Draft and amend Compliance Policies.

They are looking for someone with over 10 years of equities advisory compliance experience and are looking to pay between HKD1.5 to 2.2M base.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.