- Manage the Regulatory reporting processes for regulators and exchanges in Hong Kong and Australia.
- Improve existing compliance framework, policies and procedures and adapt them as the business evolves.
- Develop and deliver compliance training to staff group-wide.
- Process new license applications, modifications and revocations.
- Compile monthly compliance reports.
- Conduct quarterly compliance updates for senior management, managers in charge, and responsible managers.
- Update compliance manuals regularly.
- Handle regulatory inspections and queries from regulators and exchanges.
- Compliance input for new projects and respond to ad hoc queries.
- Identify potential compliance concerns and propose solutions.
- Reporting and Management of significant incidents and breaches.
- Liaise with Senior management in respect of the firm's Regulatory overlay.
- Assist 1st Line staff with the execution of their Regulatory responsibilities and ownership.
- University degree in Law / Finance / Accounting / Business or other relevant major is required
- Preferably with a minimum eight years relevant experience in compliance roles in finance.
- Solid understanding of Exchange traded products.
- Demonstrated experience working with regulators on licensing efforts.
- A strong communicator with excellent interpersonal and presentation skills.
- Strong analytical, problem-solving and stakeholder management skills.
- Proven ability to work within and meet deadlines in a fast-paced environment.
- Proactive, hands-on and has excellent attention to detail.
- Dynamic and collaborative work environment
- A flat management structure, where everyone's voice is valued
- Work life balance within a multi-cultural environment
- Fully stocked kitchen for breakfast and lunch
- Attractive benefits package with discretionary bonus
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Senior Compliance Manager - Hong Kong, 香港 - Eclipse Trading
描述
Senior Compliance Manager
Eclipse Trading is one of Asia's leading proprietary trading firms. Founded in 2007, we have over 120 employees across three office locations – Hong Kong (our HQ), Sydney, and Shanghai. Our trading expertise and strategies are deployed across several Asian markets and although we mainly specialise in equity derivatives, we also trade delta one, ETFs, commodity derivatives, and crypto currency products. Technology is inextricably linked to our trading strategies, creating an environment powered by intellectual curiosity, problem solving, and innovation.
We are seeking an experienced Senior Compliance Manager to oversee and manage the day-to-day operations of our organization's compliance function. Reporting to the Chief Financial Officer, the ideal candidate will take responsibility for regulatory compliance for group entities in Hong Kong, Australia, the PRC and US and acts as an advisor to management in business development activities regulatory-wise. A hands-on role with excellent exposures to a wide range of listed and OTC derivatives and cash products spanning a number of stock and derivatives exchanges.
Responsibilities:
Requirements:
What we offer
Eclipse Trading is an equal opportunity employer and we believe that diversity and inclusion are essential pillars of our success as a company. We are dedicated to embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential.
All information provided will be treated in strict confidence and used solely for recruitment purposes.
Due to the high number of responses that we receive, we are only able to respond to successful applicants.
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