Equities Compliance Director

Randstad Hong Kong Limited; Hong Kong Island; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Randstad Hong Kong Limited is seeking a senior governance and regulatory compliance professional to lead interpretation of statutory guidelines within equities compliance and derivatives oversight. You will revise internal policies, act as the primary contact for external regulators, and oversee trade surveillance quality checks while ensuring trading activities stay within statutory obligations.

The role emphasizes proactive risk identification and cross-functional collaboration with regulatory

Qualifications

• Bachelor's degree in commerce, financial accounting, or jurisprudence.
• Minimum of 8 years of governance, internal review, or regulatory enforcement experience.
• Understanding of cash equities, exchange-traded derivatives, and liquidity provision operations.
• Experience with trade surveillance platforms, specifically SMARTs.
• Familiarity with HK regulatory frameworks: Pro Investor guidelines, HKIDR, OTCR.
• Strong analytical foresight to identify vulnerabilities and escalate.
• Fluent in English; Cantonese and Mandarin preferred for regional engagement.
• Accountable, collaborative, and self-driven.

Responsibilities

• Provide guidance on statutory guidelines and risk exposures.
• Revise internal policy documentation to reflect industry changes.
• Act as primary contact for external regulatory bodies.
• Perform quality control on trade surveillance alerts.
• Ensure trading activities comply with statutory obligations.
• Design and deliver onboarding and ongoing training on statutory obligations.
• Contribute regulatory input to new commercial initiatives.

Skills

Governance

Regulatory enforcement

Risk assessment

Trade surveillance

Analytical thinking

Stakeholder engagement

English fluency

Cantonese/Mandarin

Education

Bachelor's degree in commerce

Financial accounting

Jurisprudence

Tools

SMARTs system

Job description

Operating under the guidance of the regulatory division head,within equities compliance team, this collaborative unit oversees governance for the institutional trading and derivatives departments. The group operates with a high degree of autonomy, relying on proactive risk identification, mutual dependability, and a shared dedication to upholding the firm's rigorous ethical standards.

about the job.

Deliver authoritative guidance on the interpretation of statutory guidelines and potential risk exposures within the designated coverage spectrum.

Revise and refine internal policy documentation and procedural frameworks to reflect shifting industry standards and operational evolutions.

Act as the primary point of contact for external governing bodies, skillfully navigating official inquiries and fostering constructive regulatory dialogues.

Execute meticulous quality control checks on trade surveillance alerts processed by peers, actively seeking avenues to optimise the review lifecycle.

Perform continuous assessments to guarantee all trading activities remain strictly aligned with fundamental statutory obligations.

Design and deliver comprehensive onboarding and ongoing educational sessions regarding statutory obligations for fresh recruits and business units.

Engage in the early stages of novel commercial projects, supplying critical insights on statutory alignment and prevailing industry benchmarks.

skills & experience required.

• Degree qualified, preferably holding a bachelor's in commerce, financial accounting, or jurisprudence.
• Minimum of 8 years of specialised background in governance, internal review, or regulatory enforcement within the broader financial sector or a regulatory body.
• Thorough comprehension of the mechanics behind cash equities, exchange-traded derivatives, and liquidity provision operations.
• Practical proficiency in navigating prominent trade surveillance platforms, specifically the SMARTs system.
• Extensive familiarity with local statutory frameworks, notably the Professional Investor guidelines, HKIDR, and OTCR.
• Exceptional analytical foresight, enabling the rapid detection and upward communication of potential vulnerabilities.
• Fluency in verbal and written English; strong capabilities in Cantonese and Mandarin are highly favoured for regional stakeholder engagement.
• A deeply ingrained sense of accountability, paired with a collaborative spirit and self-driven work ethic.