Global Market Compliance, AVP

A leading financial institution seeks an Assistant Vice President, Global Market Compliance in Hong Kong to shape regulatory excellence across global markets and support sustainable business growth.

Key responsibilities:

• Provide strategic compliance advisory support to the Global Markets division across equities, fixed income, derivatives, currencies, rates, options, futures, and swaps
• Develop and enhance compliance frameworks, policies, and procedures to ensure alignment with evolving regulatory requirements
• Advise business stakeholders on regulatory matters, new initiatives, and product launches while promoting a strong compliance culture
• Monitor regulatory developments, coordinate implementation plans, and ensure timely adoption of new compliance requirements
• Manage regulatory enquiries, breach reporting, incident reviews, and stakeholder communications to maintain strong regulatory relationships
• Oversee compliance activities across local operations and overseas entities, including communication surveillance and control room functions

Candidate profile:

• Degree in Law, Finance, Business, or a related discipline with strong knowledge of financial services and regulatory environments
• 6–8 years’ compliance, regulatory advisory, or audit experience within banking or financial services
• Experience supporting Global Markets activities, including equities, derivatives, trading products, or related regulatory matters
• Familiarity with compliance frameworks, wall crossing protocols, communication surveillance, and market conduct requirements
• Strong analytical and stakeholder management skills with the ability to interpret regulations and provide practical business guidance
• Excellent communication skills with the ability to engage senior stakeholders, deliver training, and prepare regulatory documentation in English

About the company:

A leading regional financial institution with a strong presence across Asia, this organisation provides innovative banking solutions and plays a key role in supporting businesses and communities through a changing financial landscape. With a culture centred on collaboration, professional growth, and excellence, the company offers opportunities to shape the future of financial services and drive meaningful impact.

Keywords: global markets compliance, regulatory compliance, financial services compliance, market conduct compliance, compliance advisory

What’s next:

Make your mark in global markets compliance by driving regulatory excellence and business transformation. Apply now!