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BOC - APAC Market Equities - VP

Hong Kong, Central and Western District

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BOC - APAC Market Equities - VP

Hong Kong, Central and Western District

Apply for job

Date live: May. 15, 2024

Business Area: COO & Functions

Area of Expertise: Compliance

Reference Code: 90389745

Contract: Permanent

Business Oversight Compliance APAC Market Equities Vice President
Hong Kong

As a Barclays BOC APAC Market Equities Vice President, you will have the opportunity to support the APAC Equities Compliance team and report directly into the Head of HK Markets and APAC Equities Compliance.This is an exciting chance to join a knowledgeable team, where you will be acting as a trusted advisor managing Compliance face-off to the Equities business in Hong Kong and provide sufficient support on all regulatory compliance matters.

Barclays is one of the world's largest and most respected financial institutions, established in 1690, with a legacy of success, quality, and innovation. We offer careers that provide endless opportunity – helping millions of individuals and businesses thrive, and creating financial and digital solutions that the world now takes for granted.

At Barclays, we offer a hybrid working experience that blends the positives of working alongside colleagues at our onsite locations, together with working from home. We have a structured approach where colleagues work at an onsite location on fixed, ‘anchor’, days of the week, for a minimum of two days a week or more, as set by the business area (or nearest equivalent if working part-time hours). Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that as we continue to embed our hybrid working environment, we remain in a test and learn phase, which means that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.

What will you be doing?

  • Acting as a trusted advisor managing Compliance face-off to the Equities business in Hong Kong
  • Providing regulatory advice with respect to issues raised by the relevant business areas and liaising with key members of the business and infrastructure on any related regulatory issues
  • Reviewing responses to regulatory queries/investigations as well as review, formulate local policies and to consult on global policies
  • Identifying, analysing and proposing proactively recommended courses of action arising from existing and new regulatory developments to assigned business division
  • Evaluating and escalating issues to Regional Compliance Management as appropriate
  • Displaying a proactiveness to network, develop links with external parties within the industry and represent Barclays in undertaking work with the external industry trade associations
  • Leading the development and the roll-out of bespoke training in relation to matters of remediation and compliance policies
  • Assisting the APAC Head of Markets Compliance and CCO BI APAC in the approval of new products for equities locally and regionally

What we’re looking for:

  • Excellent analytical skills, with the ability to identify themes and trends from large volumes of data and to manage entire projects of work end to end
  • Graduate in relevant discipline in Business
  • Knowledge of Hong Kong securities regulations and understanding of China regulations as well
  • experience with offshore regimes such as FPI, IRC and QFII preferable
  • Proficiency in English, Chinese, Cantonese and experience in interacting with Hong Kong regulators (interacted with Chinese regulators will be a plus) and senior business stakeholders

Skills that will help you in the role:

  • Experience with the engagement of key stakeholders to ensure effective partnerships with the business, giving and receiving challenges at all levels
  • Familiarity with compliance regulatory requirements, interacting with Hong Kong regulators (interacting with Chinese regulators will be a plus) and senior business stakeholders
  • Good understanding of products (primarily Equities – Cash and Derivatives, Electronic Trading), market and clients within the Hong Kong market
  • Sound decision-making skills balancing commercial needs with solid control infrastructure and interacting skills with Hong Kong regulators and senior business stakeholders

Where will you be working?

Our offices are situated in the center of Hong Kong’s financial district, at 2 Queen’s Road.
Cheung Kong Centre is an investment banking hub that offers panoramic views of Victoria Harbour and Kowloon Peninsula. There is a variety of local amenities and you will be just a short walk from shopping malls, health clubs and multiple transport links.



More about working at Barclays

At Barclays, each day is about being more – as a professional, and as a person. ‘Be More @ Barclays’ represents our core promise to all current and future employees. We empower our colleagues to Be More Globally Connected, working on international projects that improve the way millions of customers handle their finances. Be More Inspired by working alongside the most talented people in the industry, and delivering imaginative new solutions that are redefining the future of finance. Be More Impactful by having the opportunity to work on cutting-edge projects, and Be More Valued for who you are.

We're committed to providing a supportive and simplified experience for our candidates throughout the application and assessment process. Here, you will find information about what to expect and some guidance around your assessment and interview.

While the application process depends on the role, there are some constant steps, which are;

Step 1 - Your application
Step 2 - Your assessment
Step 3 - Your interview
Step 4 - Next steps

We aim to create an inclusive work environment where everyone can reach their full potential. If you require any adjustments to our recruitment process, please click here to learn more.

Find out more information here.

Barclays offers a diverse, inclusive and engaged culture. A place where people can bring their whole selves to work and be respected for who they are, valued for what they do and celebrated for their contribution to our business and our community.

We are an equal opportunity employer and opposed to discrimination on any grounds. It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a Carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life. If you would like some flexibility then please discuss this with the hiring manager.

The Barclays Way

This is the spirit of Barclays. It’s why we exist, what we believe and how we behave. But most importantly, it’s how we make decisions, take action and get things done.

Learn more


Working together for a better financial future.


We believe great talent RISES. It acts with Respect, Integrity, Service, Excellence and Stewardship.


We discover our full potential through our desire to Empower, Challenge and Drive each other.

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