International Broker & Market Infrastructure Provider - Equities Compliance

Group Overview:

The firm is a world leading provider of market infrastructure.
 
Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. 
 
Through our people and technology, we connect clients to superior liquidity and data solutions.
 
The Group is home to a stable of premium brands. Collectively, the firm is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.
 
The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong.  We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.

About the Firm

The firm is a leading technology-driven, agency execution specialist that intelligently connects the world’s investors to the world’s investments. Since our founding in 1999, our network has grown to include more than 1,000 institutional investors that collectively manage $33 trillion in equity and fixed income assets. Our network spans 46 markets across six continents. We built the firm to make global capital markets more efficient and continue to do so by adding additional participants, enabling trusted access to trading and investment opportunities, and delivering the actionable intelligence and insight that our customers need.

Department Overview and Role Summary: 

The Compliance function’s mission statement is to proactively engage and advise the Business so it can achieve its strategic and commercial objectives within applicable regulatory requirements and protect the Firm’s reputation.

The Compliance function has five strategic objectives: (1) proactive engagement with the Business; (2) stay ahead of the regulatory environment; (3) leverage technology solutions; (4) review and enhance policies and controls; (5) build global Compliance function. 

The Equities Compliance individual will work as a member of the APAC Compliance team based in the Firm’s Hong Kong office and report directly to the Head of Compliance, Hong Kong. The incumbent will foster a compliance culture within the firms entities and will work with other Compliance team members across the region to support the Firm’s other businesses. 
This is a trading floor-based role providing real time compliance support to the business.  The candidate will work closely with the firms APAC business to reinforce the compliance culture within the firm, advise and support on conduct of business requirements, review and update policies and procedures, and provide regulatory advice and strategic compliance support. 
 
Key Stakeholders: 

This role works closely with all departments at the firm, in particular the following groups: APAC management, Sales and Trading, Product, Operations, Product Support (technology) and Enterprise Technology Services.  This role may also work with Legal, Risk, HR and Finance.  

Role Responsibilities:

- Assisting Compliance management and the Compliance team in providing day-to-day regulatory advice and guidance in relation to the Automated Trading Services (“ATS”) and sales-trading businesses.  
 
- Participating in new product approval process, providing advice to drive strategic business initiatives and projects. 
 
- Monitoring changes in laws and regulations and engaging the business on relevant regulatory change projects. Assist and identify regulatory change events and draft internal policies accordingly. 
 
- Assist in the design and delivery of the firms Compliance training programme for the various business units and conduct ad-hoc training and face-to-face training  as and when required.  Design and deliver communications/reminders on applicable regulatory topics. 
 
- Conducting market monitoring and surveillance function, including alert management. Assist to investigate matters escalated from surveillance team. 
 
- Handling regulatory enquiries/inspections and internal investigations/audits and assist in any remediation. 
 
- Formulating appropriate policies, procedures, and carrying out monitoring and testing plans for the business. 
 
- Assist with the implementation and management of the Compliance Monitoring Programme in APAC, review output and ensure any remedial action is completed. Provide MI for Monitoring Programme or other purposes. 
 
- Assist in the identification of upstream regulatory risk, and work to respond to or mitigate any such identified risks. 
 
- Deliver regulatory advice and compliance-related strategic support within the department. 
 
- Prepare and submit periodic reports as per regulatory requirements. 
 
- Build / maintain effective working relationships with key internal stakeholders including Senior Management, Desk Heads, support function Heads, internal and external auditors and other members of the control functions to ensure a proper understanding of the risks and necessary mitigating measures to facilitate and protect the business. 
 
- Serve as an active member of the Compliance team, participating in relevant committees, groups and fora, including business and control committees, as required. 
 
- Conduct periodic desk and or centre reviews as part of the APAC compliance monitoring program. 
 
- Review and assess any New Business Initiatives. 
 
- Assist other areas of the control teams as required. 
 
- Fulfil additional / ad-hoc duties and project management roles as required to meet the needs of the business. 
 

Experience / Competences: 

- 4-5 years of broad based compliance experience, covering front office and awareness of back office, settlement and clearing systems. Experience in surveillance is highly preferable. 
- Strong understanding of equities, particularly in an electronic trading environment. 
- Good knowledge of Asian markets and regulatory regimes such as the SFC and SEHK; 
- Strong knowledge of relevant rules and regulations, and relevant industry standards; 
- Solid experience within Compliance / Regulatory law across diverse fields of knowledge; 
- Experience with regulatory and compliance matters in Asia Pacific region; 
- Experience with risk assessment frameworks, including identifying risk and designing and implementing mitigations and controls. 
- Very strong interpersonal and communication skills;

- Strong and resilient personality with a high sense of integrity and independence; 

- Strong organisational skills and ability to successfully prioritise and manage multiple projects; 
- Good team player with positive attitude and self-motivation; 
- Ability to develop new skills and understand new technology as required; 
- Very good understanding of financial providers and markets; 
- Highly developed analytical skills; 
- Willing to accept responsibility and looking to develop role within growing department with promising growth potential. 

Company Statement:
The firm is committed to promoting Equality and Diversity and encouraging a culture that actively values difference. It is recognised that employees from different backgrounds and experiences can bring valuable insights to the work environment and enhance the way we work. The firm aims to create a positive, cohesive and inclusive culture, where diversity is valued, respected and built upon. The objective is to recruit and retain a diverse workforce that reflects the global markets in which we work.

The firm is also committed to ensuring that the backgrounds, beliefs and cultures of all its employees are respected and to ensuring that the working environment is free from discrimination, harassment, bullying or any other conduct which causes an employee’s suffering. The Group also is committed to encouraging diversity amongst its current workforce and candidates