CLIENT BACKGROUND
A leading financial services firm is seeking a highly skilled Trading Compliance Officer to join our team. This role offers an exciting opportunity to work in a dynamic environment and contribute to our growing business. The headcount is based in Hong Kong or Shanghai.
Key Responsibilities
- Provide expert compliance advice to the trading business, ensuring adherence to regulatory requirements.
- Oversee and manage compliance programs related to trading activities, with a focus on A-shares.
- Conduct regular compliance reviews and risk assessments.
- Develop and implement compliance policies and procedures.
- Liaise with regulatory bodies and internal stakeholders to ensure compliance standards are met.
- Stay updated on regulatory changes and industry best practices.
Qualifications
- Minimum of 5 years of experience in trading compliance within the financial services industry.
- In-depth knowledge of A-shares and relevant regulatory frameworks.
- Strong analytical and problem-solving skills.
- Excellent communication and interpersonal skills.
- Ability to work independently and as part of a team.
- Fluency in Mandarin is preferred.
