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Head of Compliance - Hong Kong

Head of Compliance - Hong Kong

Interactive BrokersAdmiralty, Hong Kong
30 天前
职位描述

Responsibilities

Reporting to the Head of Core Compliance-APAC, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including :

  • Being the primary liaison to the SFC exchanges and other regulatory bodies;
  • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
  • Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;
  • Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulator reasons;
  • Drafting and implementing firm policies and written supervisory procedures;
  • Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the appropriate remedial action plans to address any findings.

Required Qualifications and Skills :

  • Must be a self-starter with strong analytical skills and able to work collaboratively;
  • Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment;
  • The ability to manage a small team and take ownership of projects and tasks with minimal supervision;
  • Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
  • Familiarity with the Hong Kong regulatory process, rules and codes;
  • Possess a “can do” attitude and willingness to learn;
  • Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;
  • Fluency in English and Cantonese (both written and spoken) is essential.

    • Company Benefits & Perks

  • Competitive Salary, annual performance-based bonus and stock grant
  • Excellent health and welfare benefits, including medical, dental, specialist and in-patient
  • Competitive package of Annual Leave
  • Daily lunch is ordered in-house with a fully stocked kitchen
  • Modern offices with multi-monitor setups
  • Great work-life balance
  • Unique opportunity to gain exposure to global financial products, markets and clientele
  • Opportunities for career progression and job scope expansion in a global company with a growing local presence
  • Hybrid work arrangement role permitting
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    Compliance Hong Kong • Admiralty, Hong Kong