Description
/ Accountabilities:The Senior Manager Advisory Compliance will have responsibility for Compliance activities relating to the equities businesses and is therefore expected to be a product specialist.
Expert knowledge of the Equities business (cash equities, equity derivatives and prime brokerage), with a good understanding of the equities business rules and regulations in the APAC region.
Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.
Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
Provide guidance to more junior members of the team.
Assess new business proposals versus pertinent laws, regu...