Head of Compliance, ED - Securities / Global Markets Head of Compliance, ED - Securities / Global  …

Randstad Hong Kong
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Randstad Hong Kong
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Randstad Hong Kong
Head of Compliance, ED - Securities / Global Markets
job description

about the company

Our client is an expanding international Financial Services Firm in APAC.

about the team

  • APAC team coverage
  • Dynamic, international working environment
  • Fast-paced business

about the job

  • You will be responsible for Asia Pacific compliance, which encompasses providing regulatory guidance for existing and new business - particularly in relation to electronic trading and operating ATS of equity securities
  • Develop, maintain and enhance compliance controls, monitoring and supervisory policies and plans, chairing the APAC Governance Committee
  • Identifying compliance and regulatory areas of vulnerability, and support evaluation and resolution for management and the Board of Directors
  • You will also have the responsibility for all regulatory audits, interacting directly with Hong Kong SFC, Monetary Authority of Singapore, Australian Securities and Investments Commission, Hong Kong Stock Exchange and Australian Stock Exchange, and other applicable regulatory authorities
  • You will review all new regulatory proposals to assess and advise on potential impact on the Firm
  • Regulatory foresight and planning, review of all marketing and communications and you will also be responsible for the market monitoring and surveillance function, including alert management

skills & experiences required

  • Legal Qualification - ideal but not a must
  • At least 10+ years of relevant compliance or in house legal experience
  • Some experience negotiating and drafting contracts
  • Good experience in equities broking compliance
  • Knowledge of the securities industry and equity trading
  • Experience with regulatory and compliance matters in Asia Pacific region
  • Experience establishing compliance processes and drafting compliance policies and procedures
  • Solid understanding of trading technology
  • Commercial mindset and ability to learn new business
  • Strong work ethic and hands-on approach
  • Strong leadership and communication skills

To apply online, please click on the link above. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk

head of compliance, head of legal, legal counsel, equities, fixed income, global markets, SFC

Legal Qualification - ideal but not a must

Head of Compliance, ED - Securities / Global Markets

educational requirements
Bachelor Degree

Company Overview

With over 25 years’ local market experience, Randstad offers specialist permanent and contract recruitment as well as HR solutions across a range of skills, disciplines and industry sectors. 

Randstad was founded in the Netherlands in 1960 and has more than 20 years of market experience in Singapore, with Asia Pacific operations in Australia, China, Hong Kong SAR, India, Japan, Malaysia, New Zealand and Singapore. Our team of local experts deliver a full suite of specialist permanent and contract recruitment services as well as insights-driven HR solutions to leading companies in the region.

We know from our heritage and experiences that real connections are not made from data and algorithm - they require empathy, intuition and instinct. It is here at this intersection between technology and humanity that we redefine the way we connect with our clients, candidates and partners - to deliver a true human experience.

Through the power of HR technology and the passion of our people, we help candidates realise their true potential and enable employers to sustain their success through strategic HR solutions across accounting & finance, banking and financial services, corporate & secretarial support, construction & property, engineering and manufacturing, supply chain & logistics, human resources, information technology, life sciences as well as sales, marketing & communications.