DRW
Financial Services
ComplianceManager
Neural analysis suggests this role is
optimal for Mid candidates.
“Compliance Manager at DRW. Skills: Compliance, SFC regulations, HKEX regulations. Ensure compliance with SFC and HKEX rules. Monitor regulatory and exchange developments”
Industry & Context.
Work proactively to solve problems
What They're Looking For.
Must Have
Degree in finance, quantitative finance, risk or related studies, 5 to 7 years relevant experience in the financial services industry in HK (experience in compliance dept. ) or with SFC, Deep knowledge and thorough understanding of HK (SFC and HKEX) regulations for dealing in securities and dealing in futures, Excel skills, Experience working with large sets of data, Ability to speak Cantonese, Fluency in English
Nice to Have
VBA/SQL/Python skills, Familiarity with surveillance products
What You'll Do.
Ensure compliance with SFC and HKEX rules
Monitor regulatory and exchange developments
Review and interpret new rules
Educate colleagues on changes
Update firm policies and procedures
Create compliance program/monitoring plan
Manage regulatory and exchange form filings
Liaise with SFC and HKEX officials
Ensure overall compliance
How You'll Work.
Team & Collaboration
Work with the Head of Compliance for APAC region; Educate colleagues on changes
Communication Scope
Great communication skills; Fluency in English
Full Job Description
DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world. We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk. Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets. We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets. We operate with respect, curiosity and open minds. The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it. DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus. As a Compliance Manager in our Hong Kong office, you’ll join our global compliance team and work with the Head of Compliance for APAC region. Our environment is dynamic and fast-paced and we are looking for someone who is energized by our innovative culture. Success in this role means a strong knowledge of financial markets, commitment and dedication to the team, and a keen attention to detail. What you’ll be doing: Ensure compliance with SFC and HKEX rules and regulations. (Type 1 and Type 2 regulated activity). Monitor regulatory and exchange related developments in Hong Kong and China Connect markets. Review and interpret new rules, educate colleagues on changes and update firm policies and procedures. Create and apply a compliance program/monitoring plan for DRW Hong Kong. Manage regulatory and exchange form filings in Hong Kong. Liaise with SFC and HKEX officials. Market conduct monitoring, trade surveillance, communication and trade execution reviews. Ensure overall compliance in a time-sensitive environment. What we’re looking for: De
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