Senior Equities Compliance Advisor (Advisory)

TD Securities; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

TD Securities in Hong Kong is seeking a Manager / Senior Manager, Advisory Compliance (Equities) to lead compliance activities for the equities business across APAC. You will advise on regulatory interpretation, coordinate with global teams, and train staff on market rules and guidance.

The role requires deep equities knowledge, strong stakeholder management, and the ability to provide timely real-time advice on proposed trades, with a focus on controls and policy implementation.

Qualifications

• Minimum of 15 years of demonstrated relevant compliance experience in financial services.
• Solid understanding of Equities markets, products and business practices.
• In-depth knowledge of one or more Fixed Income areas is preferred.
• Independent, self-starter with strong stakeholder management and problem-solving abilities.

Responsibilities

• Provide real-time advisory on transactions and regulatory interpretations.
• Draft and implement Advisory Compliance policies and procedures.
• Coordinate with global Advisory Compliance teams when required.
• Deliver training on market abuse, trading venue rules and related topics.

Skills

Equities knowledge

Regulatory compliance

Stakeholder management

Training delivery

Job description

TD Securities in Hong Kong is seeking a Manager / Senior Manager, Advisory Compliance (Equities) to lead compliance activities for the equities business across APAC. You will advise on regulatory interpretation, coordinate with global teams, and train staff on market rules and guidance.

The role requires deep equities knowledge, strong stakeholder management, and the ability to provide timely real-time advice on proposed trades, with a focus on controls and policy implementation.