Company Overview:
Our client is a leading European Securities Brokerage firm with a strong presence in Hong Kong.
Position Overview:
We are seeking a dedicated Compliance manager to join our Hong Kong team. The successful candidate will be responsible for trade monitoring and surveillance, KYC/AML (Know Your Customer/Anti-Money Laundering) activities, and various general compliance tasks. This role will be part of a close-knit team of three compliance professionals, reporting directly to the Head of Legal and Compliance.
Key Responsibilities:
- Conduct real-time and post-trade monitoring to identify potential market abuse, insider trading, and other regulatory breaches.
- Analyze trade data and transactions for unusual patterns or behaviors that may indicate non-compliance.
- Monitor trading activities to ensure adherence to best execution practices and regulatory requirements.
- Implement and enhance surveillance systems and processes to effectively detect and investigate suspicious activities.
- Collaborate with traders, risk management, and other stakeholders to address compliance issues and enhance surveillance capabilities.
- Prepare and present reports on surveillance findings and recommendations to senior management and regulatory authorities.
Additional Responsibilities:
- Perform KYC/AML checks on clients and transactions to mitigate risks associated with money laundering and financial crime.
- Assist in developing and implementing compliance policies and procedures in line with regulatory guidelines.
- Conduct compliance reviews and investigations as necessary to ensure adherence to regulatory standards.
- Keep abreast of regulatory developments and industry trends to ensure the firm's compliance framework remains current and effective.
Qualifications and Skills:
- Bachelor's degree in Law, Finance, Business, or a related field. Professional certifications in compliance or AML/KYC are a plus.
- Proven experience in trade monitoring, surveillance, KYC/AML, and general compliance work within the financial services industry.
- Strong knowledge of Hong Kong regulatory requirements, particularly related to securities brokerage operations.
- Excellent analytical skills with the ability to interpret and apply complex regulatory guidelines.
- Effective communication skills with the ability to work collaboratively in a team environment.
- Detail-oriented approach with a high level of integrity and professionalism.
