Senior Compliance Specialist
We are looking for an experienced native Japanese language Compliance Analyst to join our Hong Kong team. Reporting to the Head of Compliance, you will be responsible for monitoring and reviewing all trading by SIG Asia entities in a real time and post trade basis. Based on the trading floor, you will work directly with traders and operations teams. This is a superb opportunity for an individual to work within a true front office trading environment.
In the role you will:
- Monitor and review all trading by SIG Asia entities on a real-time and post trade basis.
- Provide training and guidance on financial markets and products, trading strategies (e.g. short selling)
- Liaise with regulators and exchanges (primarily Australia, Hong Kong and Japan).
- Ensure compliance with Anti-Money Laundering (AML) procedures and provide AML training.
- Ensure compliance with statutory reporting requirements (e.g. substantial shareholding reports, short position reports).
- Review IT trading systems, development and testing of systems and controls.
- Maintenance and review of proprietary trading systems controls, filters, parameters and reports.
- Maintenance and development of regulatory licence programs, compliance manuals, policies/procedures.
- Liaising with technology teams to contribute to design, development and documentation of compliance and risk specific IT applications used for compliance monitoring.
- Development of compliance test applications for trading system applications and algorithms to test their operation and behaviour during various market scenarios (eg fast market, no disorderly market impact).
- Interact with SIG Asia IT resources to ensure compliance projects and requirements are achievable and where possible, consistent with projects developments taking place in other SIG regions (eg EU, US).
What we're looking for
- Professional or industry qualifications preferred.
- Knowledge of Asia, EU and US regulatory developments and compliance issues.
- Knowledge of Australian securities market and exchange regulations.
- Understanding of Australian Corporation Law and Hong Kong Securities and Futures Ordinance.
- Knowledge of ASIC AFS Licence and Hong Kong SFC Licence regimes.
- Excellent writing and communication skills (Japanese and English) to contribute and write compliance policy and procedures relevant to compliance, risk and IT areas.
- Native Japanese language skills with experience communicating with Japanese exchanges and regulators.
- Equity and derivative market experience/exposure preferred (but not essential).
- Strong written and verbal skills to contribute and write compliance policy and procedures relevant to compliance, risk and IT areas.
- Conceptual understanding of IT compliance systems – development/reviews/testing documentation
- Strong interpersonal skills with the ability to liaise with senior/executive trading staff.
- Ability to work autonomously and as a member of inter-departmental teams.
We don’t post salary ranges externally so any salary estimate you see listed here was not provided by SIG and may not be accurate.
SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.