Operating under the guidance of the regulatory division head,within equities compliance team, this collaborative unit oversees governance for the institutional trading and derivatives departments. The group operates with a high degree of autonomy, relying on proactive risk identification, mutual dependability, and a shared dedication to upholding the firm's rigorous ethical standards.
about the job.
- Deliver authoritative guidance on the interpretation of statutory guidelines and potential risk exposures within the designated coverage spectrum.
- Revise and refine internal policy documentation and procedural frameworks to reflect shifting industry standards and operational evolutions.
- Act as the primary point of contact for external governing bodies, skillfully navigating official inquiries and fostering constructive regulatory dialogues.
- Execute meticulous quality control checks on trade surveillance alerts processed by peers, actively seeking avenues to optimise the review lifecycle.
- Perform continuous assessments to guarantee all trading activities remain strictly aligned with fundamental statutory obligations.
- Design and deliver comprehensive onboarding and ongoing educational sessions regarding statutory obligations for fresh recruits and business units.
- Engage in the early stages of novel commercial projects, supplying critical insights on statutory alignment and prevailing industry benchmarks.
skills & experience required.
- Degree qualified, preferably holding a bachelor's in commerce, financial accounting, or jurisprudence.
- Minimum of 8 years of specialised background in governance, internal review, or regulatory enforcement within the broader financial sector or a regulatory body.
- Thorough comprehension of the mechanics behind cash equities, exchange-traded derivatives, and liquidity provision operations.
- Practical proficiency in navigating prominent trade surveillance platforms, specifically the SMARTs system.
- Extensive familiarity with local statutory frameworks, notably the Professional Investor guidelines, HKIDR, and OTCR.
- Exceptional analytical foresight, enabling the rapid detection and upward communication of potential vulnerabilities.
- Fluency in verbal and written English; strong capabilities in Cantonese and Mandarin are highly favoured for regional stakeholder engagement.
- A deeply ingrained sense of accountability, paired with a collaborative spirit and self-driven work ethic.
