VP/Director - Cash Equities Compliance (Tier-1 Chinese Bank)

Job Description

CLIENT BACKGROUND A leading Chinese investment bank with a strong global presence is actively seeking an experienced compliance professional to join its Hong Kong office. Despite being a top-tier institution with robust equities operations, this key role has remained open for some time-making it an exceptional opportunity for candidates ready to step into a high-impact position with visibility and influence. JOB RESPONSIBILITY As a VP/Director for Cash Equities Compliance, you will: • Provide advisory support to front office equities teams on regulatory obligations and internal policies. • Monitor trading activities to ensure alignment with SFC regulations and global compliance standards. • Lead or support investigations, surveillance reviews, and regulatory inquiries related to equities trading. • Collaborate with Legal, Risk, and other control functions to manage compliance risks across the equities business. • Drive compliance training and awareness initiatives for trading and sales teams. • Contribute to the development and enhancement of compliance frameworks and controls. Show More