Regulatory Compliance Expert
1 month ago
We are a leading financial services firm dedicated to delivering innovative trading solutions. Our mission is to provide exceptional service and expertise to our clients, and we're seeking a highly skilled Regulatory Compliance Expert to join our team in Asia.
Job DescriptionAs a Regulatory Compliance Expert, you will play a critical role in ensuring that our trading activities and operations comply with local, APAC, and international laws and regulations. This involves regulatory filings, trade surveillance, monitoring tasks, and overseeing control room function activities in a fast-paced environment.
About the PositionThe regulatory landscape of our industry is complex and constantly evolving. You will help us review and interpret new rules, educate colleagues on changes, and update firm policies and procedures. Strong communication skills are essential for explaining processes clearly to individuals across various departments.
Your Key Responsibilities- Review and interpret new regulations and updates
- Educate colleagues on changes and update firm policies
- Conduct regular monitoring and reporting tasks
- Collaborate with internal stakeholders to ensure compliance
To succeed in this role, you will need:
- An undergraduate degree in finance, quantitative finance, risk, or a related field
- 3-6 years of relevant experience in the financial services industry, preferably in compliance control room functions
- A deep understanding of local APAC regulations for securities dealers operating globally
- Strong Excel skills and experience working with large data sets
- Reliable and courteous team player with excellent communication skills
- Organized with exceptional attention to detail and problem-solving skills
We also welcome applicants with:
- VBA/SQL/Python/Linux skills and familiarity with surveillance products like SMARTS Broker and Actimize
- Language proficiency in Japanese, Mandarin, or Korean
We offer a competitive salary and benefits package, including:
- $80,000 - $110,000 per year, depending on experience
- Ongoing training and professional development opportunities
- A collaborative and dynamic work environment
Please note that the estimated salary range is based on market rates for similar positions in the financial services industry.
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