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Open nowFirst seen 5 days ago

Compliance Director - Equities/FICC

NexusSearch International Limited96 open roles

Where
Hong Kong, Hong Kong
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Your applicationOpen nowCompliance Director - Equities/FICCNexusSearch International Limited · Hong Kong, Hong Kong

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on NexusSearch International Limited's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 58.1%60 days
This job: first seen 5 days ago

The posting

Key Responsibilities

  • Provide compliance advisory and guidance to support business operations.
  • Deliver real-time regulatory compliance guidance to the trading floor at both local and regional levels.
  • Act as the primary contact for business units on product compliance issues, providing advisory support.
  • Monitor regulatory developments and trends to ensure compliance with new or amended regulations.
  • Develop and oversee compliance monitoring programs, conducting periodic desk reviews.
  • Offer regulatory compliance advice and approval for cross-border activities.
  • Analyze regulatory changes, assess their impact on business processes, and update compliance policies and procedures accordingly.
  • Train front office staff on new policies and procedures and assist in developing implementation strategies.
  • Maintain cooperative relationships with government policymakers, regulatory agencies, and self-regulatory bodies.
  • Assist in ad-hoc investigations, including data gathering, analysis, and documentation.
  • Collaborate with Legal, New Products, Controllers, Operations, Risk, IT, and other departments to establish controls and policies for new businesses.
  • Knowledge of Japanese regulatory regimes (MNPI, FW, COI, Mass holding) is a plus.
  • Complete all compliance and risk awareness training and fulfill compliance responsibilities.
  • Adhere to company policies, procedures, and regulations (e.g., avoid unauthorized use of confidential information, comply with dress code, refrain from accepting personal benefits/gifts/entertainment from clients without permission, and avoid unauthorized securities dealings).
  • Promptly report all incidents.

Requirements

  • University degree in finance, business, accounting, legal administration, or a related field.
  • Minimum of 7 years of compliance experience in major investment banks or securities firms.
  • Understanding of key regulators in Hong Kong, their policies, and expectations; ability to assess the impact of overseas regulatory developments.
  • Strong analytical skills for reviewing data/situations and addressing issues promptly.
  • Deep knowledge of global macroeconomics, politics, and socio-cultural trends.
  • Excellent interpersonal and communication skills; a collaborative team player.
  • Strong risk assessment and problem-solving abilities, with a capacity to work independently.
  • Proficient in time management and project initiation.
  • Self-driven with a proactive approach to enhancing business processes.
  • Ability to identify and resolve conflicts of interest.
  • Capable of handling confidential and sensitive information with discretion.
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  1. A CV for this posting

    Written against NexusSearch International Limited's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on NexusSearch International Limited's form

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    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    NexusSearch International Limited's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

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  6. The interview in your calendar

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    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
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