Head of Equities Compliance
A leading global investment bank is seeking an experienced compliance professional to lead its APAC Equities Compliance function.
This is a senior regional leadership role responsible for providing compliance advisory and regulatory oversight across Equities, Equity Derivatives, Equity Capital Markets and Execution & Clearing businesses throughout Asia. The successful candidate will manage a regional team and work closely with senior stakeholders across the front office, control functions and regulators.
Key Responsibilities
- Lead compliance coverage for Equities and Equity Derivatives businesses across APAC
- Manage and develop a regional compliance team
- Advise senior business stakeholders on regulatory and compliance matters
- Provide oversight of regulatory change and compliance projects
- Enhance compliance policies, controls and risk management frameworks
- Lead regulatory inspections, reviews and remediation initiatives
- Monitor regulatory developments and advise on emerging risks
- Deliver compliance training and promote a strong compliance culture
- Act as a key point of contact for regulators and internal stakeholders across the region
Requirements
- 15+ years of compliance experience within an investment bank or financial institution
- Strong knowledge of Equities and Equity Derivatives businesses
- Deep understanding of APAC market conduct and regulatory requirements
- Experience advising trading and sales businesses
- Proven leadership and people management experience
- Strong stakeholder management and communication skills
- Ability to operate effectively in a fast-paced, global environment
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