Associate Director - Director, Equities Compliance

Morgan Mckinley Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Morgan Mckinley Limited seeks an Associate Director - Director, Equities Compliance in Hong Kong to provide guidance on regulatory interpretation and ensure regional compliance coverage across business activities. You will review local regulatory standards for new initiatives, develop procedures, and support teams with monitoring activities while maintaining strong relationships with regulators. Fluent in English, Cantonese and Mandarin is required.

Qualifications

• Degree holder with at least 8 years of experience in compliance within financial services industry, investment banking and/or regulatory bodies.
• Sound working knowledge of cash equities and equities derivatives business.
• Familiar with local statutory frameworks, including the Professional Investor Rules, HKIDR, and OTCR.
• Fluent in English, Cantonese and Mandarin.

Responsibilities

• Provide guidance on regulatory interpretation and coverage-area compliance issues.
• Review and advise on local regulatory and best-practice considerations for new business and infrastructure initiatives.
• Assess compliance procedures to ensure they are current and updated as required; develop new procedures in response to regulatory or business changes.
• Support team members by advising on compliance monitoring activities to confirm ongoing adherence to key compliance requirements.
• Handle regulatory inquiries and manage relationships with regulators.
• Deliver training to business units.

Skills

Regulatory interpretation

Compliance expertise

Training delivery

Stakeholder management

Education

Degree holder

Job description

Associate Director - Director, Equities Compliance

Our client is a leading international investment bank providing global markets, investment, and other capital markets services across the region.Responsibilities:

• Provide guidance on regulatory interpretation and coverage-area compliance issues.
• Review and advise on local regulatory and best-practice considerations for new business and infrastructure initiatives.
• Assess compliance procedures to ensure they are current and updated as required; develop new procedures in response to regulatory or business changes.
• Support team members by advising on compliance monitoring activities to confirm ongoing adherence to key compliance requirements.
• Handle regulatory inquiries and manage relationships with regulators.
• Deliver training to business units.

Requirements:

• Degree holder with at least 8 years of experience in compliance within financial services industry, investment banking and/or regulatory bodies.
• Sound working knowledge of cash equities and equities derivatives business.
• Familiar with local statutory frameworks, including the Professional Investor Rules, HKIDR, and OTCR.
• Fluent in English, Cantonese and Mandarin.