about the company
Our client is a global leading electronic trading platform with strong presence overseas and expanding in APAC region. about the team- A team of 5+ in Hong Kong Regulatory Compliance
- Dynamic, international working environment
- Stable working environment with low turnover rate in record
- You will be responsible for Hong Kong compliance, which encompasses providing regulatory guidance for existing and new business - particularly in relation to electronic trading and operating ATS of equity securities
- Develop, maintain and enhance compliance controls, monitoring and supervisory policies and plans
- Identifying compliance and regulatory areas of vulnerability, and support evaluation and resolution for management and the Board of Directors
- You will also have the responsibility for all regulatory audits, interacting directly with Hong Kong SFC, Hong Kong Stock Exchange and other applicable regulatory authorities
- You will review all new regulatory proposals to assess and advise on potential impact on the Firm
- Regulatory foresight and planning, review of all marketing and communications and you will also be responsible for the market monitoring and surveillance function, including alert management
- At least 8+ years of relevant compliance experience in SFC-regulated entities
- Knowledge of the securities industry and trading business, as well as the applicable regulations, market practice and requirements
- Experience in establishing/reviewing compliance processes and drafting compliance policies and procedures
- Solid understanding of trading technology
- Legal Qualification/Education would be an advantage
- Commercial mindset and ability to learn new business
- Strong work ethic and hands-on approach
- Strong leadership and communication skills
- High proficiency in written and spoke English and Chinese
To apply online, please click on the link above. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 6446 3601 or email: joanne.lo@randstad.com.hk
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