The Company is in search of a Senior Vice President, Head of Markets Compliance to oversee and lead compliance for its Equities and Fixed Income sales and trading businesses. The successful candidate will be responsible for providing strategic and day-to-day compliance support, ensuring adherence to regulatory frameworks and market conduct standards. This senior advisory role involves close collaboration with senior business heads and other control functions to identify and mitigate compliance risks, as well as supporting the development of new products and initiatives. The Head of Markets Compliance will also be tasked with maintaining strong knowledge of relevant regulatory frameworks, preparing compliance reports, and managing regulatory communications and relationships. Applicants must have a minimum of 10 years' experience in Global Markets Compliance, with a strong background in Equities and Fixed Income. The role requires a candidate with a proven track record in compliance leadership, team management, and a deep understanding of market conduct, trading practices, and client-facing activities. Strong technical knowledge of Delta-1 products and Prime businesses is essential, and familiarity with regulatory frameworks in the Asia-Pacific region, particularly in India, Taiwan, Korea, and China, is preferred. The ideal candidate will have excellent stakeholder management skills, the ability to influence and challenge effectively, and a sound judgment in a fast-paced environment. A thorough understanding of Hong Kong legislation and subsidiary regulations, particularly the Securities and Futures Ordinance, is also a key requirement.

Hiring Company

Jefferies