• Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Star Anise Limited
  • 16 Jul 18 2018-07-16

APAC Director, Equity & Global Market Compliance Partner – NEWLY created role!

Our client is global top tier professional services providing financial software tools such as an analytics and equity trading platform, data services, and news to financial companies and organizations through its power financial Terminal which is as its core revenue-generating product. As growing technology era and digital products dominating market in Asia particularly in HK, an outstanding regional compliance position has arisen for a high-calibre Compliance professional to join the regional compliance team in Hong Kong.


As part of regional compliance team, you will be responsible to perform all activities and duties carried out in full compliance with regulatory requirements, internal policies, procedures and standards. You will provide Compliance coverage of the firm’s regulated and electronic trading platforms including monitoring system development, alerts and incidents. You will also provide Compliance advice to the business and support groups to ensure Compliance with regulatory and company requirements and standards for APAC region. 


Report directly to regional head of compliance, this is a critical role with a broad remit and responsibilities across the region. You will implement appropriate compliance controls and tools, including working with Compliance technology support to address any gaps identified as well as collaborate with regional compliance and legal teams, including operations, risk and engineering teams to implement Compliance policies and procedures. In addition, you will manage regulatory relationships and examinations by MAS, ASIC, HKSFC. As subject matter expert, you are responsible to build and implement the healthy compliance framework, policies and procedures.


To qualify, individuals must possess:

  • Degree holder, preferably in Law or in a business-related discipline.
  • Minimum 10 years+ relevant experience in Electronic Trading Compliance, Global Market compliance, OTC derivative compliance, Equities compliance, Equities & FICC (Markets Compliance)
  • Experience in liaising with securities regulators and managing regulatory inquiries, surveys and inspections
  • Equipped understanding of Electronic Trading platforms, OTC derivatives products and operations
  • Strong knowledge of financial industry rules and regulations across APAC region
  • Excellent written and verbal communication skills with fluency in English
  • Strong organizational, analytical and problem solving skills
  • Ability to effectively multi-task and priorities
  • A desire to be part of a team in a dynamic and fast-paced organization


To apply, please contact Jennifer Yang for a confidential discussion at +852 3708 9510 quoting job reference number JY.33368. To visit more Legal, Compliance and Risk management jobs please check www.staranise.com.hk


Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.