- A team of 5+ in Hong Kong Regulatory Compliance
- Dynamic, international working environment
- Stable working environment with low turnover rate in record about the job
- You will be responsible for Hong Kong compliance, which encompasses providing regulatory guidance for existing and new business - particularly in relation to electronic trading and operating ATS of equity securities
- Develop, maintain and enhance compliance controls, monitoring and supervisory policies and plans
- Identifying compliance and regulatory areas of vulnerability, and support evaluation and resolution for management and the Board of Directors
- You will also have the responsibility for all regulatory audits, interacting directly with Hong Kong SFC, Hong Kong Stock Exchange and other applicable regulatory authorities
- You will review all new regulatory proposals to assess and advise on potential impact on the Firm
- Regulatory foresight and planning, review of all marketing and communications and you will also be responsible for the market monitoring and surveillance function, including alert management skills & experiences required
- At least 8+ years of relevant compliance experience in SFC-regulated entities
- Knowledge of the securities industry and trading business, as well as the applicable regulations, market practice and requirements
- Experience in establishing/reviewing compliance processes and drafting compliance policies and procedures
- Solid understanding of trading technology
- Legal Qualification/Education would be an advantage
- Commercial mindset and ability to learn new business
- Strong work ethic and hands-on approach
- Strong leadership and communication skills
- High proficiency in written and spoke English and Chinese To apply online, please click on the link above. Alternatively, for a confidential discussion please contact Joanne Lo on or email: key responsibilities Responsible for Hong Kong compliance, which encompasses providing regulatory guidance for existing and new business - particularly in relation to electronic trading and operating ATS of equity securities
Develop, maintain and enhance compliance controls, monitoring and supervisory policies and plans
Identifying compliance and regulatory areas of vulnerability, and support evaluation and resolution for management and the BOD
Responsibility for regulatory audits and interacting with SFC/HKEX
experience 8 years
skills general compliance, regulatory compliance, electronic trading, international, head of compliance, SFC
qualifications 8+ years compliance experience in SFC-regulated entities
Knowledge of the securities industry and trading business, applicable regulations
Exp in establishing compliance P&P
English & Chinese
education Bachelor Degree -
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描述
about the company Our client is a global leading electronic trading platform with strong presence overseas and expanding in APAC region. about the team
