DRW
Financial Services
ComplianceManager
“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
Applying for this Compliance Manager role?
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