Senior Compliance Officer, Cash Equity APAC

Job Description

What is this position about? A key role in the regional Global Markets Compliance Governance Model and a senior member of the regional Compliance team. Support the Head of Global Equities Compliance in APAC by helping to coordinate all coverage-related activities and action plans primarily in relation to Cash Equities. Provides compliance advice and challenge to Business and other stakeholders in all jurisdictions across APAC in Cash Equities. Closely liaise with, challenge and keep regularly informing the relevant business stakeholders. Also responsible for timely communication on key topics to Compliance heads. Act as a central point of various regional projects relating to Cash Equities. This position will also act as one of the main compliance contact points for the implementation within Global Markets of local, regional and global projects and reform initiatives for the cash equities business lines. He or she will lead some regional training initiatives aimed at maintaining consistently high levels of front office proficiency in relevant rules and regulations, codes of conduct, and particularly the laws and regulations governing the bench marking activities and various remediation requirements for APAC Global Markets business. Show More