Job Title

Vice President, Equities Compliance – Global Investment Bank

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Stella Huo

37 Active Positions

Job Description


Our client is one of the top-tier investment banks with unsurmountable international presence stands out as a key player to watch. They partner with leading corporate and institutional investors through their offices in more than 40 countries. They provide a full suite of financial products and services, from banking and investments to asset and risk management. They cover a broad range of asset classes, making them a global leader in corporate and investment banking, sales and trading.

Position Description

As a Vice President, you will be responsible for overseeing all compliance matters pertaining to the Hong Kong Equities business.

Cover APAC GBAM FLU compliance manager is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit ( FLU ) and Control Function ( CF ) performance and any related third party / vendor relationships in alignment with the Compliance Risk Management ( CRM ) Program and the Global Compliance Enterprise Policy (GC Policy).

As a member of a FLU or CF compliance officer team, the Compliance Manager demonstrates and applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance risks.

This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CRM Program objectives, balancing business strategy with appropriate controls.

Key Responsibilities

APAC GBAM Compliance Program Oversight Specialist is accountable for contribution to the requirements in the GC Policy aligned to compliance officers, including but not limited to the following activities :

  • Assist the Compliance Executive in maintaining and communicating regulatory changes, advising and directing business leaders to ensure that regulatory requirements are addressed in their respective process and controls so that their day to day activities operate in a compliant manner.
  • Engage other compliance officers, Enterprise Areas of Coverage roles, and horizontal function roles to provide oversight of FLU and CF activities.
  • Conduct compliance risk assessments of FLU and CF.
  • Contribute to monitoring and testing coverage plans and related metrics for Front Line Unit ( FLU ) or Control Function ( CF ).
  • Monitor and test the effectiveness of the front line unit and control function compliance risk controls.
  • Identify aggregate, report and escalate compliance risks, issues and control enhancements.
  • Execute governance, management routines and building of reports for governance meetings.
  • Help identify compliance training needs, provide subject matter expertise to support development of training curriculum, and inspect FLU / CF and third party participation.
  • Assist business leaders in preparations for regulatory exams and audits for FLU / CF and related Enterprise Areas of Coverage.
  • Inspect that commitments made regarding actions in response to Matters Requiring Attention ( MRAs ) and other actions are completed.
  • Escalate compliance program concerns to APAC Compliance Executive.
  • The Compliance Manager reviews team deliverables to support consistent quality of activities, processes and outputs.
  • This role may contribute as a manager responsible for providing leadership direction to attract, assess, develop, motivate and retain a small team, or may act as an individual contributor.


Key Requirements

  • Minimum 7 Years’ experience within global market compliance / operational risk / legal function
  • Bachelors Degree or equivalent Required
  • Experience planning, executing and leading projects and quality assurance reviews
  • Strong executive presence process management skills, Excel and Power Point.
  • Assesses Compliance Risk in the activities of a FLU / CF or the Company
  • Drives Accountability for Compliance Risk Mitigation
  • Communicates and Escalates Compliance Risk and partners.
  • Provides expertise and insight regarding applicable laws, rules, regulations and regulatory guidance to manage compliance risk
  • Analytical, organized and possess decision making skills
  • Ability to multi-task and independently drive responses to regulatory / exchange compliance issues / queries
  • Solid awareness of controls and governance reporting
  • Self-motivated, a team player and results orientated
  • Ability to work in partnership with business, shared services and other members in Legal and Compliance in the region
  • Outstanding interpersonal and communication skills.


Tags: Compliance, equities, Listed derivatives

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