- Being the primary liaison to the SFC exchanges and other regulatory bodies;
- Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
- Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;
- Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulator reasons;
- Drafting and implementing firm policies and written supervisory procedures;
- Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the appropriate remedial action plans to address any findings.
- Must be a self-starter with strong analytical skills and able to work collaboratively;
- Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment;
- The ability to manage a small team and take ownership of projects and tasks with minimal supervision;
- Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
- Familiarity with the Hong Kong regulatory process, rules and codes;
- Possess a "can do" attitude and willingness to learn;
- Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;
- Fluency in English and Cantonese (both written and spoken) is essential.
- Competitive Salary, annual performance-based bonus and stock grant
- Excellent health and welfare benefits, including medical, dental, specialist and in-patient
- Competitive package of Annual Leave
- Daily lunch is ordered in-house with a fully stocked kitchen
- Modern offices with multi-monitor setups
- Great work-life balance
- Unique opportunity to gain exposure to global financial products, markets and clientele
- Opportunities for career progression and job scope expansion in a global company with a growing local presence
- Hybrid work arrangement role permitting
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Head of Compliance - Hong Kong, 香港 - Interactive Brokers
描述
Responsibilities
:Reporting to the Head of Core Compliance-APAC, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including:
Required Qualifications and Skills:
Company Benefits & Perks
