Equities Trading Control Management - Vice President

Join a high‑performing APAC Equities franchise in Hong Kong and shape the future of E‑Trading and equity derivatives. Drive a robust first‑line control agenda that safeguards clients and the firm, strengthens governance, and accelerates strategic growth

As a Vice President in Business Control Management, you will drive the first line control agenda for APAC Equity Derivatives and E‑Trading across pre‑trade, execution, and post‑trade. You will partner with Trading, Technology, and Compliance to govern E‑Trading and venue controls, best execution, and supervisory frameworks across key APAC jurisdictions. You will manage regulatory obligations, operational and conduct risks across the complex regulatory landscape, and deliver outcomes through disciplined governance and analytics.

This role is pivotal to enabling safe growth while meeting evolving regulatory expectations.

• Be part of the first‑line control framework across APAC Equity Derivatives and E‑Trading, covering pre‑trade execution, and post trade.
• Govern best‑execution and venue oversight.
• Chair/coordinate governance forums and control committees; drive prioritized agendas, actions, and closure tracking aligned to business strategy.
• Oversee algorithm lifecycle and E‑Trading risk: limit review, algo control review, onboarding/change management, parameter thresholds, latency/capacity monitoring, and resiliency testing with Technology.
• Ensure compliance with applicable APAC and global obligations; maintain procedures and support regulatory exams and internal audits.
• Own issue management: identify control gaps, assess severity, perform root‑cause analysis, and deliver time‑bound remediation with compensating controls where needed.
• Oversee Front Office supervisory routines and exception management, including attestations, reviews, and escalation protocols.
• Develop, review, and maintain Policies & Procedures and supervisory manuals that reflect current controls, new business and regulatory changes.

• 8 plus years in Markets control, risk, compliance, or middle office within Equities/Equity Derivatives, including E‑trading exposure.
• Strong understanding of equity derivatives and market microstructure; experience with electronic and algorithmic trading workflows and controls.
• Demonstrated ownership of first‑line controls across the trade lifecycle, including algo onboarding/change control and supervisory frameworks.
• Proven track record leading audits/regulatory engagements and delivering timely, auditable remediation.
• Advanced analytical and problem‑solving skills.
• Proficiency with Excel and at least one of SQL, Python, or Alteryx; ability to build KPI/KRI dashboards.
• Bachelor’s degree in Finance, Economics, Engineering, or related discipline.
• Exceptional written and verbal communication skills; ability to influence senior stakeholders and produce concise, high‑quality materials.

• Knowledge of APAC and global regulatory environments relevant to equities and e‑trading; experience preparing for exams and thematic reviews.
• Strong relationship‑building skills with Trading, Technology, Compliance, and external stakeholders.
• Proficient with MS Office; experience with dashboarding/automation tools a plus.
• Proven ability to manage regulatory obligations and operational risks.
• Ability to work in a fast‑paced, dynamic environment.

We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs.

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