Compliance Manager - Hong Kong
Core
Ensure compliance with SFC and HKEX rules, monitor regulatory developments, and manage market conduct surveillance for DRW's Hong Kong trading operations.
Role type
Compliance Manager (Financial Services)
Builds
Compliance program and monitoring plan for DRW Hong Kong
Domain
Financial Services / Securities and Futures Regulation
Deliverable
client delivery
Required skills
Knowledge of SFC and HKEX regulations, Regulatory monitoring, Policy interpretation, Form filing management, Liaison with regulators, Market conduct monitoring, Trade surveillance, Data analysis with Excel
Preferred skills
VBA, SQL, Python, Familiarity with surveillance products
Responsibilities
Ensure compliance with SFC and HKEX rules and regulations (Type 1 and Type 2 regulated activity), Monitor regulatory and exchange related developments in Hong Kong and China Connect markets, Review and interpret new rules, educate colleagues on changes and update firm policies and procedures, Create and apply a compliance program/monitoring plan for DRW Hong Kong, Manage regulatory and exchange form filings in Hong Kong, Liaise with SFC and HKEX officials, Market conduct monitoring, trade surveillance, communication and trade execution reviews, Ensure overall compliance in a time-sensitive environment
Seniority
Mid-Senior, hands-on IC
