Vice President Compliance, Global Markets / Prime Services

Vice President Compliance, Global Markets / Prime Services

Job Title: Vice President Compliance, Global Markets / Prime Services
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 129
Contact Name: Pathay Singh
Contact Email:
Job Published: July 25, 2016 15:19

Job Description

Client Details Confidential – available upon request


  • Business advisory work on Equities / Prime Services focusing on listed futures and options, cash equities, DMA/SDMA, synthetic swap, etc.;
  • Provide advice and information to front office and other support departments on rules and regulations and compliance issues, taking guidance from senior colleagues;
  • Assist the business to develop new product or offerings in relation to regulatory matters, taking guidance as appropriate;
  • Review financial promotions and/or marketing material issued by front office;
  • Assist in conducting internal investigations and/or trade surveillance monitoring on potential breach of rules/regulations and company policies;


  • University graduate;
  • Experience in compliance advisory, control development, monitoring and/or reporting; Financial Markets Product;
  • Knowledge of equities and/or derivatives markets and licensing issues and cross-border marketing risks;
  • Knowledge in relevant rules and regulations applicable to securities and derivatives business in Hong Kong;

If you would like further information and a full role description please contact Pathay Singh on +852 25214078 or pathay.singh@thecompliancegrid or email CV to