Our client, a leading global financial institution, is seeking an experienced Equities Compliance Director to join their team. This is a senior leadership role responsible for overseeing compliance advisory and monitoring for the Equities business across the region.
Key Responsibilities
- Provide strategic compliance advisory to the Equities trading and sales desks.
- Ensure adherence to regulatory requirements and internal policies across all equities products.
- Lead compliance risk assessments and implement robust controls.
- Manage regulatory inquiries and liaise with regulators as needed.
- Drive compliance training and awareness initiatives for front-office teams.
- Partner with senior stakeholders to influence business decisions and mitigate compliance risks.
Requirements
- Minimum 10 years of compliance experience within Equities or broader Markets business.
- Strong understanding of regional regulatory frameworks and equities products.
- Proven ability to engage with senior stakeholders and regulators.
- Excellent leadership, communication, and problem-solving skills.
