Role Overview:
The Compliance Officer will provide leverage to the team to ensure the firms program adheres to regulations and exchange rules within APAC and globally. They will be involved in helping to develop and deploy an overall compliance program within the APAC offices across the multi-faceted compliance elements, including activities that prevent, detect, and respond to compliance risks and misconduct.
The ideal candidate role will have experience in the algorithmic and electronic trading space, preferably within a proprietary trading business, focusing on both equities and exchange traded derivatives. Experience across Asian markets as well as Japan and India would be highly regarded.
The candidate will be involved in the broader organization of regulatory rules, regulatory bodies, and exchanges as well as handling significant regulatory inquiries and investigations in the region as required. The position partners closely with senior business leaders, both locally and across the APAC region, on assessing business growth opportunities across APAC.
Responsibilities:
- Provide practical and considered compliance advice to our business across APAC focusing on algorithmic and electronic trading as well as other key compliance advisory areas.
- Review and approve new business initiatives and trading strategies from regulatory, best practice and global standards
- Proactively identify potential regulatory and compliance risks to the business and industry, develop strategies to address these risks in tandem with key team members and business stakeholders
- Partner closely with regional compliance teams across APAC as well as in US and EMEA to meet all regulatory expectations, maintain global consistency and deliver best in class support to business
- Advise on rules and regulations affecting the firms businesses with appropriate implementation of relevant policies and training to Business, Business Control Group, and other functions.
- Establish and manage effective relationships with internal and external stakeholders (including exchanges and regulators) in the markets coveredĀ
- Collaborate with regional Compliance teams to devise a compliance framework in tracking regulatory developments and obligations
Qualifications:
- 7-10 years of solid hands-on compliance advisory experience in equities as well as futures and options with major investment banks or high frequency trading firms
- Previous experience with APAC regulators an advantage
- Must have solid knowledge of the regulatory framework across Asian markets
- High level of attention to detail is a pre-requisite as is a passion for excellence
- The ability to work under pressure and within tight deadlines to a consistently high level of accuracy
- Must be able to show initiative and react quickly to changes in priorities with the ability to quickly learn new procedures
- Strong collegial attitude who is focused on the overall success of the team and the firm
- Excellent verbal and written communications skills
- Fluency in Mandarin or Japanese preferred
Education:
- University Degree required.