[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 on Equities transactions from a Compliance standpoint
•Conduct desk reviews/monitoring tasks in regards to trade and transaction surveillance, front office communications, personal trading activities, and others
•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
Vice President
Options Group (Germany) GmbH
+49.69.9719.4135 (Work)
+49.174.198.8451 (Cell)
pschaeffner@optionsgroup.com

Über Patrick Schaeffner

Patrick Schäffner ist seit November 2017 Teil der Options Group in Frankfurt und betreut dort den Bereich Risk & Compliance. Zuvor war er bereits erfolgreich in einer Personalberatung tätig und konnte dort branchenübergreifende Kenntnisse aufbauen. Durch die Betreuung von Banken, Beratungen und Industriekunden im DAX kann Herr Schäffner auf ein breites Netzwerk zurückgreifen. Seine Freizeit verbringt er mit einem MBA-Aufbaustudium sowie Fitness und Handball. E-Mail: pschaeffner@optionsgroup.com Tel.: +49 69 9719 4135

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