Director – Head of Equity Derivatives, Syndicate & Execution/Clearing Compliance (APAC)

Our client is looking for a Director-level Compliance Officer to lead regional advisory for Equity Derivatives, Equity Syndicate, and Derivatives Execution & Clearing across APAC. You will manage a cross-border team in Hong Kong and Singapore, partner directly with senior Front Office leaders, and act as the primary escalation point for regional compliance matters.

Client: Leading European Investment Bank

Location: Hong Kong (Regional remit including Singapore)

Key Responsibilities

• Team Leadership: Manage, mentor, and streamline operations for a regional compliance team across Hong Kong and Singapore.

• Front-Office Advisory: Advise and constructively challenge Front, Middle, and Back Office teams on transactions, conflicts of interest, and marketing materials.

• Regulatory & Audit Liaison: Handle regulatory inquiries, audits, and inspections (primarily HKMA and SFC), and represent the bank in industry forums.

• Risk, Controls & Investigations: Build risk/control frameworks, oversee desk reviews, update regional policies, and lead breach investigations and MIS reporting.

• Projects & Training: Drive regional regulatory reform projects and deliver practical conduct and market-integrity training to trading desks.

What We Are Looking For

• 15+ years of financial services compliance experience, with strong exposure to Global Markets / Equities advisory.

• Deep product knowledge across Equity Derivatives, Equities Sales & Trading, Syndicate, and Execution/Clearing.

• Strong command of HKMA and SFC regulations (including the SFC Code of Conduct), exchange/OTC rulebooks, and market abuse frameworks.

• Undergraduate degree required; familiarity with electronic trading legal documentation is a strong plus.