AVP Compliance at Asia Progress Executive Limited

職位	AVP Compliance
刊登日期	04 Mar 2026
已過期	03 Apr 2026
公司名稱	Asia Progress Executive Limited
地點	香港 \| HK
僱傭形式	Full Time

職位描述：

最新職位資訊來自 Asia Progress Executive Limited 職位為 AVP Compliance. If the AVP Compliance 職位空缺在香港符合您的資格，請直接透過更新後的 Jobkos 招聘門戶提交最新的申請或履歷。

請注意，求職申請並非總是容易的，申請人必須符合公司設定的特定要求。我們希望以下在 Asia Progress Executive Limited 職位為 AVP Compliance 的職業機會適合您的專業資格。

Our client is a reputable international Investment Banking. To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team

AVP Compliance , Cash Equity APAC - Foreign Bank

Description

A key role in the regional Global Markets Compliance Governance Model and a senior member of the regional Compliance team.

Support the Head of Global Equities Compliance in APAC by helping to coordinate all coverage-related activities and action plans primarily in relation to Cash Equities. Provides compliance advice and challenge to Business and other stakeholders in all jurisdictions across APAC in Cash Equities.Closely liaise with, challenge and keep regularly informing the relevant business stakeholders. Also responsible for timely communication on key topics to Compliance heads. Act as a central point of various regional projects relating to Cash Equities. This 職位 will also act as one of the main compliance contact points for the implementation within Global Markets of local, regional and global projects and reform initiatives for the cash equities business lines. He or she will lead some regional training initiatives aimed at maintaining consistently high levels of front office proficiency in relevant rules and regulations, codes of conduct, and particularly the laws and regulations governing the bench marking activities and various remediation requirements for APAC Global Markets business.

Key stakeholders include all relevant business and functional heads and teams in APAC, within Global Markets business and within Compliance; and various regulatory authorities in APAC.

Responsibilities

Challenge and advise front, middle and back office on regulatory and compliance issues, with specific focus on Cash Equities
Assist in regulatory issues in relation to Asia such as MIC appointments and liquid capital management
Liaise with local regulators and stakeholders for the handling or coordination of regulatory inquiries, audits, inspections, questionnaires and surveys for his/her perimeters
Assist in leading initiatives and managing projects and work streams for solutions for his/her perimeter
Assist in designing and implementing risk and control frameworks for his/her Perimeter
Participate in industry groups, associations and forums
Proactively identify and manage/help to mitigate the compliance, regulatory and reputational risks for his/her perimeter
Keep abreast of the regulatory developments, advise on regulatory changes and interpretation of laws, rules and regulations to relevant stakeholders for his/her perimeter
Ensure effective monitoring and implementation of internal process, procedures, and controls
Liaise with local regulators and stakeholders for the handling or coordination of regulatory inquiries, audits, inspections, questionnaires and surveys for his/her perimeter
Handle compliance issues, incidents, and breaches in conjunction with various internal parties, and prepare various MIS and incident reports for his/her perimeter
Assist in periodic review, update and roll out of global and regional compliance policies and procedures for Global Markets business and ensure compliance thereof
Assist in the implementation of compliance programs, such as review of marketing documents, conflicts identification and mitigations, desk reviews, follow through internal compliance reports
Assist in the organization, administration and provision of compliance training. Ensure the content so it is up to date and on point with evolving regulatory expectations
Ensure effective collaboration with global Compliance teams, providing timely updates, achieving global consistency where efficient and practical
Actively looking for appropriate steps to improve efficiency and effectiveness including by further use of technology, appropriate delegation, standardizing and streamlining tasks

Requirements

Undergraduate Degree with 5 years or more experience in the Compliance department of financial institutions, international brokers or securities regulators; with strong knowledge of equities and futures and options products and/or capital market activities in both APAC, EMEA and US regions, preferably with advisory experience.
The candidate should have a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces.
Sound knowledge of regulatory and compliance requirements in both APAC and Global regions
Strong interpersonal skills, with the ability to communicate and consult clearly at all levels - business, management and other support functions
Knowledge of risk and control framework or procedure of a financial institution
Strong analytical and problem-solving skills
Able to work independently adopting a hands-on approach

If you're interested, please don't delay and click APPLY NOW; or for more information, you can reach out to Dolly Chan office with your resume.

Please send full resume with present & expected salary to expedite sourcing in

MS-WORD format by clicking "APPLY NOW"

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Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies, a copy of which will be provided upon request

All information provided will be used for recruitment purpose only

工作資料：

公司名稱: Asia Progress Executive Limited
職位: AVP Compliance
工作地點: 香港
國家: HK

如何提交申請：

在閱讀並了解職位資料中說明的入職標準及最低資格要求後， AVP Compliance at the office 香港以上，請立即準備好求職信、履歷表（CV）、畢業證書副本及其他證明文件。請透過下方的「下一頁」連結提交申請。

此招聘廣告已過期（刊登超過 30 天）。
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AVP Compliance at Asia Progress Executive Limited

職位描述：

工作資料：

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