Equities Compliance VP - International Bank
CLIENT BACKGROUND
Our client is a well-established, global financial services platform with a significant presence across Asia-Pacific. The firm is known for its strong governance culture, close alignment between Compliance and the front office, and long-term investment in experienced compliance professionals.
This is a trading-floor-facing role within a mature equities franchise, offering high visibility, direct engagement with senior stakeholders, and the opportunity to influence regional compliance standards across key Asian markets.
The position is based in Hong Kong and is open to candidates currently overseas who are willing to relocate.
JOB RESPONSIBILITY
- Act as the primary Equities Compliance advisor for cash equities businesses, embedded on the trading floor
- Provide real-time advisory coverage to APAC trading and sales teams across restricted and high-regulatory-risk markets including China, Taiwan, Korea, and India.
- Partner closely with regional and global Compliance, Legal, Risk, and Surveillance teams to ensure consistent application of policies
- Support regulatory inquiries, internal reviews, and thematic risk assessments related to equities trading activity
- Contribute to the development and enhancement of compliance frameworks, policies, and training relevant to APAC equities markets
- Maintain strong awareness of evolving regulatory expectations impacting Delta One and cash equities businesses
JOB REQUIREMENTS
- 8-15 years of experience in Equities Compliance.
- Proven experience supporting trading desks directly, ideally in a front-office-facing or trading floor environment
- Solid understanding of APAC equities markets, particularly regulatory and market conduct risks in China, Taiwan, Korea, and India
- Strong regulatory knowledge across major Asian jurisdictions; regional or global exposure is highly preferred
- Confident communicator with the ability to challenge constructively and influence senior stakeholders
- Self-driven, commercially minded, and comfortable operating in a fast-paced trading environment
- Based in Hong Kong or open to relocation to Hong Kong
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.