You will provide compliance advice on ECM sales and trading, and deal structuring across primary and secondary Equity markets in Asia, liaising with key members of the business, including senior management, regulators and support services. You will assist with the build-out of our equities and capital market platform in Asia, engage in discussions and provide advice and guidance to business stakeholders, including developing and implementing policies, procedures and processes to allow the business to comply with applicable laws, rules and policies, and commitments to regulators.
You will also be instrumental in developing and reviewing compliance controls and perform monitoring and testing to ensure adherence to regulatory requirements and Macquarie’s compliance policies. As the point of contact for HKEX on listing, trading matters, you will review and/or prepare responses to regulatory inquiries and investigations. Additionally, you will perform and provide analytics on compliance data and prepare regulatory reports, management reports and other ad hoc reports.