Manager / Senior Manager, Advisory Compliance (Equities)
Core
Manage compliance risk for equities businesses (cash equities, equity derivatives, prime brokerage) across the APAC region, acting as a product specialist advisor to trading and sales desks.
Role type
Senior Manager, Advisory Compliance (Equities)
Builds
Compliance policies, procedures, and real-time advisory guidance for equities trading activities.
Domain
Financial Services / Equities / Regulatory Compliance
Deliverable
client delivery
Required skills
Expert knowledge of equities business rules and regulations, product specialist in equities markets, stakeholder management, risk identification, regulatory interpretation, policy drafting, training delivery, escalation analysis.
Preferred skills
In-depth knowledge of Fixed Income markets.
Technologies
N/A
Responsibilities
Advise business lines on regulatory requirements and new developments; assess new business proposals against laws and exchange rules; provide real-time advice on proposed transactions; review escalations of potential market abuse; create and deliver compliance training; draft and implement compliance policies; assist with regulatory requests.
Seniority
Senior Manager, hands-on IC with mentorship responsibilities.
