We are seeking a dedicated and detail-oriented Equities Compliance Specialist to join our team. The ideal candidate will have a strong background in equities compliance, monitoring, testing, or trade surveillance. This role is crucial in ensuring our operations adhere to regulatory standards and internal policies.
JOB RESPONSIBILITY
- Conduct comprehensive monitoring and testing of equities trading activities.
- Perform trade surveillance to detect and prevent market abuse and other irregularities.
- Ensure compliance with relevant regulations and internal policies.
- Collaborate with various departments to address compliance issues and implement corrective actions.
- Prepare and present compliance reports to senior management.
- Stay updated on regulatory changes and industry best practices.
JOB REQUIREMENTS
- 3-10 years of experience in equities compliance, monitoring, testing, or trade surveillance.
- Strong understanding of regulatory requirements and compliance frameworks.
- Experience in a financial services or investment banking environment, SFC/HKEX's candidates are welcomed!
- Professional certifications in compliance or related fields.
