Compliance Officer

2 months ago

Hong Kong, Central and Western District, Hong Kong SAR China Qube Research & Technologies Full time
Job Description

Qube Research & Technologies (QRT) is a leading global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data-driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped our collaborative mindset, which enables us to solve the most complex challenges. QRT's culture of innovation continuously drives our ambition to deliver high-quality returns for our investors.

Key Responsibilities
  • Partner with Management and Business Units: Collaborate closely with senior management and business units to interpret complex regulations related to the firm's trading in Equities, Fixed Income, Commodities, and FX.
  • Regulatory Compliance: Stay on top of regulatory requirements and communicate any changes to the management team, ensuring the firm remains compliant with external regulatory and legal requirements as well as internal policies.
  • Compliance Strategies and Programs: Develop and maintain compliance strategies and implement effective compliance programs that best suit these strategies, making recommendations for improvements to the global compliance framework where required.
  • Compliance Monitoring and Reporting: Complete the Compliance Monitoring Plan (CMP) tasks in a timely manner, including escalating any anomalies and/or issues to the Global Chief Compliance Officer and extracting information on staff in other regions as required.
  • Support to APAC Head of Compliance: Support the APAC Head of Compliance with any regulatory reviews and provide guidance on compliance-related matters.
Requirements
  • Experience: 5+ years' experience in a Compliance Advisory role within the financial industry.
  • Education: A bachelor's degree or demonstrable industry experience.
  • Skills: An ability to quickly learn new systems deployed within our firm, detail-oriented, and comfortable keeping records in online systems. An awareness of investment management and the instruments traded by QRT (including derivatives thereof). An ability to manage multiple priorities and tasks, with proven organisational and project management skills in a fast-paced environment.
Company Culture

QRT is an equal opportunity employer, welcoming diversity as essential to our success. We empower employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we offer initiatives and programs to enable employees to achieve a healthy work-life balance.

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