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A very successful EQD market making firm is expanding to the fast growing Asian market. They are seeking to hire a compliance officer for their new Hong Kong office.
Job description:
- Ensuring the Firm conducts its business all times in accordance with the terms of its regulatory authorization and the relevant provisions of the codes, guidelines and regulations issued by the SFC from time to time;
- Establishing, documenting and implementing compliance policies, procedures and standard documentation;
- Maintaining effective liaison with all relevant regulators and staying abreast of regulatory developments;
- Ensuring fulfillment of all filing and reporting to the SFC;
- Maintenance of the internal registers and other records required by the SFC;
- Delivering advice and training to relevant staff and management on policies and procedures and regulatory changes;
- Reporting to management in relation to the status of compliance and potential breaches;
- Investigating and then reporting any breaches to the Board; and
- Undertaking adhoc projects under the guidance of the Group Compliance Officer.
Requirements:
- University graduates of relevant disciplines with 2-5 years working experience in derivatives trading or a related field.
- Experience that demonstrates knowledge of the Hong Kong’s Listing Rules and knowledge of the securities industry and its practices
- Experience in setting up a new compliance system would be a big plus
- Exposure to or knowledge of Equity Derivatives would also be a big plus.
- Strong interpersonal and presentation skills
- Good command of both spoken and written English and Chinese
- Enthusiastic and a good team player
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