Manager / Senior Manager, Advisory Compliance (equities)

TD Ameritrade

Hong Kong, Hong Kong
Not specified; open dialogue encouraged with hr te...
15 years industry experience
Equities market product knowledge
Apac regulatory compliance expertise
The role requires managing compliance risk across TD globally while acting as a proactive advisor to the equities business lines

Job Summary

  • The role requires managing compliance risk across TD globally while acting as a proactive advisor to the equities business lines.
  • Candidates must possess expert knowledge of cash equities, equity derivatives, and prime brokerage within the APAC region.
  • TD offers a competitive total rewards package including health benefits, paid time off, and extensive career development programs.

Matching Summary

The role requires managing compliance risk across TD globally while acting as a proactive advisor to the equities business lines.

Salary

Not specified; open dialogue encouraged with HR Team regarding pay details

Skills & Requirements

Must-have

  • 15 years industry experience
  • Equities market product knowledge
  • APAC regulatory compliance expertise
  • Stakeholder management skills
  • Real-time transaction advice

Nice-to-have

  • Fixed Income domain knowledge
  • Training delivery capabilities
  • Self-starter independent work style
  • Global team collaboration experience

Key Requirements

  • Minimum 15 years relevant industry experience
  • At least 5 years specific equities product experience
  • In-depth knowledge of APAC regulations and exchange rules

Work Rights

Not specified

Tailored Resume

Cover Letter