Equities Compliance

Harbridge Partners Limited

Central & Western Area

Posted on 21-Nov-22

Equities Compliance Job Highlights

Job Highlights

  • Securities, Equities, Compliance, Asia, Hong Kong
  • Prime Brokerage, Sales and Trading, Regulatory
  • Cash Equities, Derivatives, Compliance Training

Job Description

Client Company Profile

Our client is a is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. Woth in excess of 55,000 employees globally, it serves clients worldwide including corporations, governments and individuals from more than 1,200 offices in more than 39 countries. As a market leader, the commitment, talent and passion of its people is critical to its global success.

 Globally, a common set of values rooted in integrity, excellence and strong team ethic and performance. 

 In Asia, the business is growing from strength to strength.

Department Profile

The Compliance Department is part of the APAC Legal and Compliance Division, and provides guidance and advice to Business Units and infrastructure and support staff at the Firm, including Sales & Trading, Research, and Investment Banking, across all its APAC jurisdictions.

The equities sales and trading compliance provides advice on compliance matters including for new products and businesses and interpretation of rules and policies, develops and implements compliance policies and procedures, and provides relevant training. 

It also maintains the policies, rules management and compliance risk management frameworks, undertakes testing activities and utilizes exception reports to monitor and, where appropriate, investigate Firm, customer and employee activity.

Position Description

Based in Hong Kong and as the Regional Equities Head of Compliance for Asia Pacific, this role will provide regional compliance coverage for the clients Equities business, namely Execution Services (Core and Programs Trading), Listed and OTC Derivatives, market making activities (warrants, stock options and/or ETFs), Prime Brokerage as well as Stock Borrowing and Lending. 

The overall goal of this role is to raise compliance standards across the Firm in these coverage areas within Asia Pacific, assist in ensuring consistency where appropriate of compliance processes and controls.

Major responsibilities are as follows:

  • Advisory – Provide advice on regulatory interpretation and compliance issues in the Equities coverage areas; develop and deliver proactive strategies that support compliance / business objectives.
  • New business initiatives – Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and Firm perspective.
  • Compliance policies and procedures – Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary. Develop and implement new manuals, Compliance Notices, policies, and procedures in light of regulatory or business changes.
  • Desk reviews and monitoring – Provide advice to the Desk Review and Monitoring Teams to identify risk areas or lead independent reviews, and monitoring of business and supervisory practice.
  • Training – Develop training materials and provide training to Institutional Equity Division staff
  • Industry contacts – Lead communications with industry participants to ensure appropriateness and consistency.
  • Regulatory interaction – Monitor regulatory developments and trends; help develop and manage the Firm’s contact and relationship with its regulators, ensuring communications between the Firm and its regulators are open and constructive.
  • Regulatory reviews – Investigate and assist with regulatory inquiries, audits and examinations.
  • Global / regional coordination – Develop close working relationship with Asia Pacific country Compliance teams as well as global counterparts to ensure compliance standards and framework are aligned, and to share best practices and insights across the regions.

To succeed in this role, the applicant must have prior team management experience, and at least 10 years regional Asia Pacific compliance exposure to top tier financial services firms with a n emphasis on equities products, ideally currently based in Hong Kong.

This and other senior vacancy mandates within the legal, compliance, regulatory, AML and Financial Crime space are managed one of our Managing Partners, and Associate Partners, Edward Chen and Douglas Au respectively.

Please send an updated resume to:

ec(at)harbridgepartners.com or  da(at)harbridgepartners.com

Please give us a call in Hong Kong,  direct line +852 2523 9955.

Job Functions: Legal / Governance / Risk / Compliance
Job Type: Full Time Permanent
Years of Experience: 10 Years

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