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Compliance Manager - Hong Kong

DRW
🇭🇰Hong KongMediorFull-timePosted October 31, 2024

About the Role

As a Compliance Manager in the Hong Kong office, you'll join the global compliance team and work with the Head of Compliance for the APAC region in a dynamic and fast-paced environment. The role involves ensuring compliance with SFC and HKEX rules and regulations for Type 1 and Type 2 regulated activities, monitoring regulatory developments in Hong Kong and China Connect markets, and creating and applying comprehensive compliance programs. You'll manage regulatory and exchange form filings, liaise with SFC and HKEX officials, conduct market conduct monitoring and trade surveillance, and ensure overall compliance in a time-sensitive environment.

Requirements

  • 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
  • Deep knowledge and thorough understanding of HK (SFC and HKEX) regulations for dealing in securities and dealing in futures
  • 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
  • Ability to speak Cantonese and fluency in English is required