[HONG KONG] VP Equities Markets Compliance | Options Group
VP Equities Markets Compliance

[HONG KONG] VP Equities Markets Compliance

Our client, an international investment bank in Hong Kong, is looking for an individual to join its Compliance team as a VP Equities Markets Compliance. This is the perfect opportunity to join a growing business in a role where employees find a steep learning curve with great space for personal development.

The role will include:
•Continuous development and improvement of the bank's Compliance Management System, specifically in regards to the Equities business
•Advise front office staff on Equities transactions from a Compliance standpoint
•Conduct desk reviews and support monitoring tasks in regards to trade and transaction surveillance, front office communications, personal trading activities
•Liaising with Senior Management and Auditors (internal as well as external)

The position requires a self-confident and reliable person, with strong team spirit, and:
•Experience in HK markets compliance or equivalent such as business controls and/or supervision
•Either coming from an Equities or Fixed Income background
•Ability to advise, problem solve and execute on desk reviews related to local laws and regulations
•Experience handling SFC inspections and internal audits
•Great communication skills to interact with senior business stakeholders on a regular basis


If you are interested in that position let’s schedule a call or a meeting. Should you have a current CV, you are more than welcome to send it to me, so I can prepare for our conversation.


Patrick Schäffner
​Director
Options Group (Germany) GmbH
+49.69.9719.4135 (Work)
+49.174.198.8451 (Cell)
pschaeffner@optionsgroup.com

Über Patrick Schaeffner

Patrick Schäffner ist zuständig für den Bereich Risk Management & Compliance im Frankfurter Büro der Options Group. Zuvor war er bereits erfolgreich bei einer Personalberatung tätig und hat Finanzinstitute, Advisory Boutiquen sowie Industriekunden aus dem DAX beraten. Herr Schäffner hat Moderne Chinastudien sowie Betriebswirtschaftslehre an der Universität zu Köln sowie in Dalian (China) studiert. Im Jahr 2019 beendete er mit Auszeichnung ein MBA-Studium, das seine Kenntnisse in sämtlichen Aspekten des Risikomanagements, Strategie und Management vertiefte.   Bei der Options Group betreut Herr Schäffner internationale Banken, Vermögensverwalter, Hedge Funds sowie Versicherer in Europa und Asien bzgl. deren strategischen Recruitings in Risk und Compliance. Er vertraut dabei auf einen strukturierten und informations-basierten Ansatz, der ihn und die Options Group positiv von anderen Beratungen unterscheidet.   Seine Freizeit verbringt er mit Wandern, Surfen und Fitness.

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