Manager / Senior Manager, Advisory Compliance (equities)

TD Bank

Hong Kong, Hong Kong
Not specified; not specified; base salary included...
**
15 years industry experience minimum
Equities business product specialist knowledge
Apac region regulations expertise
** TD Bank is seeking a Manager/Senior Manager for Advisory Compliance in their equities division in Hong Kong, focusing on compliance risk management and regulatory advisory. The ideal candidate will possess extensive experience in equities markets, strong stakeholder management skills, and the ability to provide real-time compliance advice. **

Job Summary

  • The role requires managing compliance risk across TD's equities businesses while acting as a proactive advisor to ensure alignment with Board-approved policies.
  • Candidates must possess expert knowledge of cash equities, equity derivatives, and prime brokerage within the APAC region to effectively monitor and mitigate risks.
  • TD offers a competitive total rewards package including health benefits, paid time off, and extensive career development programs to support colleague well-being.

Matching Summary

Match Score: 75

** TD Bank is seeking a Manager/Senior Manager for Advisory Compliance in their equities division in Hong Kong, focusing on compliance risk management and regulatory advisory. The ideal candidate will possess extensive experience in equities markets, strong stakeholder management skills, and the ability to provide real-time compliance advice. **

Salary

Not specified; Not specified; Base salary included in Total Rewards package

Skills & Requirements

Must-have

  • 15 years industry experience minimum
  • Equities business product specialist knowledge
  • APAC region regulations expertise
  • Market abuse review and analysis
  • Stakeholder management in compliance

Nice-to-have

  • Fixed Income market knowledge preferred
  • Ability to provide real-time transaction advice
  • Experience with global Advisory Compliance teams
  • Strong training and presentation skills

Key Requirements

  • Minimum 15 years relevant industry experience
  • At least 5 years specific equities product experience
  • In-depth knowledge of Fixed Income markets (preferred)

Work Rights

Not specified

Tailored Resume

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