Compliance Director - Equities/FICC

NexusSearch International Limited; Hong Kong; On-site; HKD 1,800,000 - 2,400,000; Full time

Job summary

A financial services firm in Hong Kong is seeking a Compliance Director specializing in Equities and FICC. This role involves providing compliance advisory, delivering regulatory guidance, and monitoring compliance with regulations for trading operations. Candidates must hold a degree in finance or a related field and possess at least 7 years of experience in compliance within investment banking. Strong analytical and interpersonal skills are essential for collaboration and effective problem-solving.

Qualifications

• Minimum of 7 years of compliance experience in major investment banks or securities firms.
• Deep knowledge of global macroeconomics, politics, and socio-cultural trends.
• Ability to handle confidential and sensitive information with discretion.
• Ability to analyze data quickly and address issues.
• Ability to handle confidential information.

Responsibilities

• Provide compliance advisory and guidance to support business operations.
• Deliver real-time regulatory compliance guidance to the trading floor.
• Analyze regulatory changes and update compliance policies accordingly.
• Develop and oversee compliance monitoring programs.
• Train front office on new policies and procedures.
• Maintain relationships with regulators and policymakers.
• Assist in investigations and data gathering.
• Collaborate with Legal, Risk, IT and Operations to establish controls.

Skills

Strong analytical skills

Excellent interpersonal skills

Risk assessment abilities

Project management skills

Understanding of key regulators

Time management

Independent worker

Proactivity

Discretion

Education

University degree in finance, business, accounting, or legal administration

Job description

About the job 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.