Global Markets Compliance VP/Director - Securities Firm

- Looking for secondary markets compliance bkgd ! - Open to wealth management, equities, FICC compliance background ! About Our Client My client is a Hong Kong based securities firm providing securities, investment banking, wealth management, asset management, and cross-border capital market services. They have about 200 staff in their HK office. Job Description As a Compliance Director, your main responsibilities will include: - Developing and implementing compliance frameworks for secondary market operations. - Ensuring the organisation adheres to all relevant regulatory requirements. - Conducting regular compliance risk assessments and audits. - Providing expert advice and guidance on compliance issues to internal teams. - Overseeing the preparation and submission of regulatory reports. - Monitoring and evaluating changes in regulatory policies and their implications. - Collaborating with stakeholders to ensure compliance goals are achieved. - Managing compliance training programmes for staff. The Successful Applicant A Successful Compliance Director Should Have - Looking for product compliance experience within wealth management, equities, and/or FICC. - Proven expertise in secondary market compliance matters. - Excellent analytical and problem-solving skills. - Experience in liaising with regulatory bodies. - Strong communication and leadership abilities. - A degree in Law, Finance, or a related field. What's on Offer - senior leadership role - broad exposure to products - large platform If you are ready to take on this role, we encourage you to apply. Contact Quote job ref: JN-082026-7078396

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