The equity compliance division works closely with Legal, Controllers, Credit, Technology, operations and internal audit.  This is a trading floor - based compliance function providing real time support to the equities business.

Products covered are equities sales, trading, listed derivatives (primarily futures) and their day to day opertations, new product and market initiatives.  Additionally this role will cover Prime Brokerage, Security Lending and OTC derivatives businesses.

The ideal candidate will have more than 7 years equities or compliance (ideally both) experience and  a working knowledge of Hong Kong and Asia regional securities regulations, exchange rules on listed securities, futures and derivatives