Key Responsibilities Be accountable for the APAC Markets Compliance program Provide advice on regulatory interpretation and compliance issues in relation to global markets business Handle APAC compliance issues, incident, and breaches in conjunction with various internal parties, where necessary Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and firm perspective. Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys Periodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and providing guidance, interpretation and direction to stakeholders. Requirements Minimum 5 years of relevant work experience in the financial services industry in Markets Compliance (Equities) In-depth knowledge of APAC regulatory and compliance requirements Solid knowledge of Equities products Excellent English, ideally with Chinese (Cantonese / Mandarin) language skills Team management experience is preferred
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