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Compliance Officer

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China Qube Research & Technologies Full time
Job Title: Compliance Officer

Qube Research & Technologies (QRT) is a 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.

Your Role within QRT

As a Compliance Officer, you will support the APAC Head of Compliance, the Global Chief Compliance Officer (CCO) & the wider Compliance Team in London, Paris, and Singapore with the implementation and completion of the global compliance program. You will act as an advisor on a wide range of compliance-related topics, primarily focusing on Equities, Fixed Income, Commodities, and FX.

Key Responsibilities
  • Partner closely with management and business units to interpret complex regulations related to the firm's trading in Equities, Fixed Income, Commodities, and FX
  • Stay on top of regulatory requirements and communicate any changes to the management team
  • Develop and maintain compliance strategies and implement effective compliance programs that best suit these strategies
  • Make recommendations for improvements to the global compliance framework where required
  • Uphold the highest standards in ensuring the firm complies with its outside regulatory and legal requirements as well as internal policies
  • Manage new joiner setup, including the setup of compliance systems and arranging and conducting new joiner induction training
  • Produce MI for monthly governance meetings
  • Complete the Compliance Monitoring Plan (CMP) tasks in a timely manner, including escalating any anomalies and/or issues to the Global CCO and extracting information on staff in other regions as required
  • Support APAC Head of Compliance with any regulatory reviews
Requirements
  • 5+ years' experience required
  • A bachelor's degree or demonstrable industry experience
  • Experience working within a Compliance Advisory role within the financial industry
  • An ability to quickly learn new systems deployed within our firm
  • Detail-oriented; 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; proven organisational and project management skills in a fast-paced environment
What We Offer

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