Description

A leading global investment bank is seeking an experienced compliance professional to lead its APAC Equities Compliance function.

This is a senior regional leadership role responsible for providing compliance advisory and regulatory oversight across Equities, Equity Derivatives, Equity Capital Markets and Execution & Clearing businesses throughout Asia. The successful candidate will manage a regional team and work closely with senior stakeholders across the front office, control functions and regulators.

Key Responsibilities

• Lead compliance coverage for Equities and Equity Derivatives businesses across APAC
• Manage and develop a regional compliance team
• Advise senior business stakeholders on regulatory and compliance matters
• Provide oversight of regulatory change and compliance projects
• Enhance compliance policies, controls and risk management frameworks
• Lead regulatory inspections, reviews and remediation initiatives
• Monitor regulatory developments and advise on emerging risks
• Deliver compliance training and promote a strong compliance culture
• Act as a key point of contact for regulators and internal stakeholders across the region

Requirements

• 15+ years of compliance experience within an investment bank or financial institution
• Strong knowledge of Equities and Equity Derivatives businesses
• Deep understanding of APAC market conduct and regulatory requirements
• Experience advising trading and sales businesses
• Proven leadership and people management experience
• Strong stakeholder management and communication skills
• Ability to operate effectively in a fast-paced, global environment