Our client is a global proprietary trading firm and market maker with a strong presence across major financial hubs. The firm is a leading liquidity provider in listed derivatives, equities, ETFs, bonds, and foreign currencies. Its mission is to improve markets through competitive pricing, efficient execution, and sound risk management. The firms regional office operates with the dynamism of a start-up and the resources of a global trading powerhouse. As part of its continued growth in the Asia-Pacific region, it is now seeking a Compliance Officer to join its Hong Kong office.
Key Responsibilities
Reporting to the Head of Compliance, Hong Kong, you will:
- Serve as a trusted Compliance advisor to senior management and trading teams, providing strategic and regulatory guidance aligned with the firms risk appetite.
- Support the execution of the APAC Compliance strategy , focusing on Japan and Hong Kong equities markets.
- Conduct risk assessments, lead training programs, and develop policies and controls to ensure regulatory compliance.
- Participate in strategic and new business initiatives , conducting detailed Compliance reviews to ensure alignment with regulations and internal standards.
- Collaborate with regional Compliance counterparts to enhance consistency, efficiency, and innovation across markets.
- Foster a strong culture of integrity, accountability, and ethical conduct throughout the organization.
- Liaise with regulators and industry bodies as required.
Requirements
- Bachelors degree or equivalent qualification.
- 5+ years of Compliance experience in the trading or market-making industry, with strong exposure to equities trading.
- Deep understanding of Japan equities markets and related regulatory frameworks is highly preferred.
- Proficiency in Japanese (language and culture) to manage business communications and regulatory interactions effectively.
- Proven ability to design, implement, and manage effective Compliance programs, policies, and controls.
- Strong analytical and problem-solving skills with the ability to translate regulatory requirements into practical business solutions.
- Excellent communication and stakeholder management skills, with confidence in advising senior leaders.