Compliance (VP) (equities trading)

Harbridge Partners Limited

HK$70,000 – HK$90,000 /month

Posted on 6-Oct-22

Job Highlights

  • Compliance,vice president,equities trading
  • SFC 1,4,6,9, securities trading,trade surveillance
  • compliance monitoring, product compliance

equities trading Job Description

Job Description


Our client is a well-known brokerage and market making platform with SFC type 1,4,6,9 licenses. Their business covers securities trading, private banking, asset management and corporate finance. Their business focus consists of providing trading services for cash equities, option, futures, bond, ETF and CFD in Hong Kong and mainland region. They are now looking for a compliance professional with extensive compliance experience in equities trading business.



  • Primarily support HK based equities business, managing a team of 3-5.
  • Work with legal, compliance and other support staff across the region and in the other regions to advise on and address cross-jurisdictional compliance matters
  • Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business units under the VP’s responsibility area.  Reviewing and provide suggestion to enhance existing trade surveillance system/reports.
  • Manage projects to build and implement approved enhancement changes as well as changes required due to regulatory changes.
  • Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc.  Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc
  • Liaise with the regulators on enquiries, onsite inspection, thematic review and investigations.
  • Manage the platform’s FATCA/ CRS compliance and other upcoming common reporting standard.
  • Advise management and relevant business units on compliance-related matters/ issues, including the review of new products/ services from a compliance perspective.
  • Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk 
  • Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified.
  • Conduct compliance monitoring and desk reviews to ensure compliance with regulations and internal policies 
  • Review and approve marketing materials 
  • Provides support for the development of compliance policies and procedures which meet compliance standards, and for the monitoring of implementation 
  • Identify regulatory or reputational risks and escalate to senior management for resolution 
  • Conduct training sessions on firm policies and procedures 
  • Take a supporting role in strategic and policy issues regarding compliance and regulatory matters affecting the business in the country and/or region 
  • Initiates, manages, and executes global or regional compliance projects 
  • Provide support for compliance-related risk assessment and control evaluations as requested



  • Minimum of 7 years of experience in compliance.
  • Previous sales and trading compliance experience in equities is an advantage.
  • Experience in providing compliance training to business units
  • Experience in developing policies and procedures guidelines.
  • Experience in conducting compliance review and investigations.
  • Bachelor’s degree in any related discipline.


  • Friendly company culture.
  • Competitive yearend bonus.
  • Great annual leave package
  • Great Career progression.
  • Fully comprehensive medical insurance and personal insurance
  • Great MPF Pension Scheme
Job Functions: Banking / Financial Services / Insurance Legal / Governance / Risk / Compliance
Job Type: Full Time Permanent
Years of Experience: 7 Years

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