Senior Equities Advisory Compliance Lead

TD Bank Financial Group; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

TD Bank Financial Group is seeking a Manager / Senior Manager, Advisory Compliance (Equities) in Hong Kong. The role focuses on compliance activities for the equities business, including cash equities, equity derivatives and prime brokerage, with guidance to trading desks and collaboration with global Advisory Compliance teams.

The candidate will build business relationships, assess proposals under regulatory requirements, and provide timely real-time advice while developing policy and training

Qualifications

• Minimum of 15 years of demonstrated relevant experience in the industry.
• Solid understanding of Equities markets, products and business practices, with knowledge of Fixed Income preferred.
• Independent, self-starter skilled in identifying risks, managing stakeholders, and providing solutions.
• Familiar with industry standards and regulatory guidance.

Responsibilities

• Provide advisory compliance for equities businesses including cash equities, equity derivatives and prime brokerage.
• Build and maintain relationships with the business and control functions and guide junior team members.
• Assess new proposals against laws, regulations and exchange rules; coordinate with global teams.
• Deliver real-time regulatory guidance for proposed transactions and respond to regulatory requests.
• Create and deliver training on market abuse, venue rules and relevant topics.

Education

15+ years experience in the industry

Job description

TD Bank Financial Group is seeking a Manager / Senior Manager, Advisory Compliance (Equities) in Hong Kong. The role focuses on compliance activities for the equities business, including cash equities, equity derivatives and prime brokerage, with guidance to trading desks and collaboration with global Advisory Compliance teams.

The candidate will build business relationships, assess proposals under regulatory requirements, and provide timely real-time advice while developing policy and training