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Global Markets Compliance VP/Director - Securities Firm

Hong Kong Permanent HK$1,200,000 - HK$1,440,000 per year View Job Description
As a Compliance Director in the Financial Services industry, based in Hong Kong, you will oversee compliance matters within the secondary market and ensure regulatory adherence.
  • Looking for secondary markets compliance bkgd !
  • Open to wealth management, equities, FICC compliance background !

About Our Client

My client is a Hong Kong based securities firm providing securities, investment banking, wealth management, asset management, and cross-border capital market services. They have about 200 staff in their HK office.

Job Description

As a Compliance Director, your main responsibilities will include:

  • Developing and implementing compliance frameworks for secondary market operations.
  • Ensuring the organisation adheres to all relevant regulatory requirements.
  • Conducting regular compliance risk assessments and audits.
  • Providing expert advice and guidance on compliance issues to internal teams.
  • Overseeing the preparation and submission of regulatory reports.
  • Monitoring and evaluating changes in regulatory policies and their implications.
  • Collaborating with stakeholders to ensure compliance goals are achieved.
  • Managing compliance training programmes for staff.

The Successful Applicant

A successful Compliance Director should have:

  • Looking for product compliance experience within wealth management, equities, and/or FICC.
  • Proven expertise in secondary market compliance matters.
  • Excellent analytical and problem-solving skills.
  • Experience in liaising with regulatory bodies.
  • Strong communication and leadership abilities.
  • A degree in Law, Finance, or a related field.

What's on Offer

  • senior leadership role
  • broad exposure to products
  • large platform



If you are ready to take on this role, we encourage you to apply.

Contact
Monica Wong
Quote job ref
JN-082026-7078396
Phone number
+852 2848 4789

Job summary

Function
Banking & Financial Services
Specialisation
Compliance & Legal
What is your area of specialisation?
Financial Services
Location
Hong Kong
Job Type:
Permanent
Consultant name
Monica Wong
Consultant phone
+852 2848 4789
Job Reference
JN-082026-7078396

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.