CLIENT BACKGROUND
We are looking for an experienced Equities Compliance Associate to join our compliance team. This role is
ideal for candidates with a strong background in trade surveillance and a deep understanding of global market
compliance. The successful candidate will ensure our equities trading activities comply with all regulatory
requirements.
JOB RESPONSIBILITY
- Assist in the development and enhancement of compliance policies and procedures tailored to global markets.
- Collaborate with trading desks and other stakeholders to provide compliance guidance and support.
- Conduct trade surveillance to monitor equities trading activities for compliance with regulations and internal policies.
- Analyze trade data to identify potential market manipulation, insider trading, or other compliance risks.
- Participate in regulatory audits and internal reviews, preparing necessary documentation and reports.
- Stay informed on global regulatory changes and industry best practices to ensure ongoing compliance.
- Provide training and support to staff on compliance-related matters and trade surveillance tools.
JOB REQUIREMENTS
- Bachelor's degree in Finance, Law, Business Administration, or a related field.
- 2+ years of experience in compliance, trade surveillance, or related roles within the financial services industry, with a focus on equities.
- Strong knowledge of global market regulations and compliance frameworks.
- Familiarity with the SMART surveillance system is advantageous.
- Proven analytical skills with the ability to interpret complex data and identify compliance issues.
- Strong communication skills, fluent in English; proficiency in Cantonese and Mandarin is a plus.
- Ability to work independently and collaboratively in a fast-paced environment.
