Compliance Director - Equities/FICC

Key Responsibilities

• Provide compliance advisory and guidance to support business operations.

• Deliver real-time regulatory compliance guidance to the trading floor at both local and regional levels.
• Act as the primary contact for business units on product compliance issues, providing advisory support.
• Monitor regulatory developments and trends to ensure compliance with new or amended regulations.
• Develop and oversee compliance monitoring programs, conducting periodic desk reviews.
• Offer regulatory compliance advice and approval for cross-border activities.
• Analyze regulatory changes, assess their impact on business processes, and update compliance policies and procedures accordingly.
• Train front office staff on new policies and procedures and assist in developing implementation strategies.
• Maintain cooperative relationships with government policymakers, regulatory agencies, and self-regulatory bodies.
• Assist in ad-hoc investigations, including data gathering, analysis, and documentation.
• Collaborate with Legal, New Products, Controllers, Operations, Risk, IT, and other departments to establish controls and policies for new businesses.
• Knowledge of Japanese regulatory regimes (MNPI, FW, COI, Mass holding) is a plus.

• Complete all compliance and risk awareness training and fulfill compliance responsibilities.
• Adhere to company policies, procedures, and regulations (e.g., avoid unauthorized use of confidential information, comply with dress code, refrain from accepting personal benefits/gifts/entertainment from clients without permission, and avoid unauthorized securities dealings).
• Promptly report all incidents.

Requirements

• University degree in finance, business, accounting, legal administration, or a related field.
• Minimum of 7 years of compliance experience in major investment banks or securities firms.

• Understanding of key regulators in Hong Kong, their policies, and expectations; ability to assess the impact of overseas regulatory developments.
• Strong analytical skills for reviewing data/situations and addressing issues promptly.
• Deep knowledge of global macroeconomics, politics, and socio-cultural trends.

• Excellent interpersonal and communication skills; a collaborative team player.
• Strong risk assessment and problem-solving abilities, with a capacity to work independently.
• Proficient in time management and project initiation.
• Self-driven with a proactive approach to enhancing business processes.
• Ability to identify and resolve conflicts of interest.
• Capable of handling confidential and sensitive information with discretion.