We currently have a part-time Compliance Manager role for a highly motivated candidate based in Hong Kong.
Reporting to the Managing Director, the successful candidate will take responsibility for regulatory compliance for groups entities in Hong Kong, Australia and the PRC and acts as an advisor to management in business development activities regulatory-
wise. A hands-on role with excellent exposures to a wide range of listed and OTC derivatives and cash products spanning a number of stock and derivatives exchanges.
Responsibilities and Duties
Performs routine compliance tasks including license applications, upkeep of registers and records such as professional training, staff trading and registers mandated by laws, rules and regulations.
Attend to updates with regulators for organizational and other changes as and when required.
Collate and submit reports, certifications, and declarations to regulators and exchanges.
Carries out regular and risk-based internal reviews and audits on regulatory compliance.
Respond to ad-hoc queries and information requests from regulators and report any incidents as and when required.
Acts as the contact point for meetings with regulators and regulatory inspections.
Updates the Group’s compliance manuals and keep management abreast of relevant regulatory developments and their business impact.
Conducts compliance induction sessions with new joiners and organize in-house compliance training sessions.
Reviews agreements with various counterparties as and when required and provide feedback to management.
Minimum 7 years’ experience in a compliance role and with a good understanding of equity derivative products.
Working knowledge of securities laws and regulations in Hong Kong strongly preferred. Knowledge in Australian and PRC laws and regulations is a plus.
Mature and with the gravitas to help management instill a strong compliance culture.
Strong communication skills both written and verbal.
What we offer
A dynamic work environment where the focus is on getting things done efficiently instead of working long hours every day
A flat management structure, where everyone’s voice is valued
A hands-on experience in the most exciting part of the financial industry
An attractive benefits package where your contribution will be rewarded handsomely in line with our performance-based remuneration