head of compliance, apac - securities / global markets in Central

rouella jose landicho, randstad hong kong
job type
HK$ 1,700,000 - HK$ 2,000,000 per year

job details

banking & financial services
job type
working hours
HK$ 1,700,000 - HK$ 2,000,000 per year
reference number
rouella jose landicho, randstad hong kong
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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, APAC - Securities / Global Markets

educational requirements

Bachelor Degree