Compliance Manager - Hong Kong

Hong Kongmid

Legal & ComplianceCompliance

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Quick Summary

Key Responsibilities

Ensure compliance with SFC and HKEX rules and regulations. (Type 1 and Type 2 regulated activity). Monitor regulatory and exchange related developments in Hong Kong and China Connect markets.

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Legal & ComplianceCompliance

Responsibilities

~1 min read

→Ensure compliance with SFC and HKEX rules and regulations. (Type 1 and Type 2 regulated activity).
→Monitor regulatory and exchange related developments in Hong Kong and China Connect markets.
→Review and interpret new rules, educate colleagues on changes and update firm policies and procedures.
→Create and apply a compliance program/monitoring plan for DRW Hong Kong.
→Manage regulatory and exchange form filings in Hong Kong.
→Liaise with SFC and HKEX officials.
→Market conduct monitoring, trade surveillance, communication and trade execution reviews.
→Ensure overall compliance in a time-sensitive environment.

Degree in finance, quantitative finance, risk or related studies.
5 to 7 years relevant experience in the financial services industry in HK (experience in compliance dept.) or with SFC.
Have a deep knowledge and thorough understanding of HK (SFC and HKEX) regulations for dealing in securities and dealing in futures.
Have strong Excel skills and experience working with large sets of data.
Reliable and courteous team player with great communication skills.
Organised with exceptional attention to detail; can work proactively to solve problems and prioritise tasks in a fast-paced environment.
Eager to learn; able to grow from mistakes and accept feedback.
VBA/SQL/Python skills and familiarity with surveillance products are a plus.
Ability to speak Cantonese and fluency in English is required.