Regional Compliance Specialist

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China Trevose Partners Limited Full time

Role Overview:

Trevose Partners Limited seeks a highly skilled Compliance Officer to leverage our APAC and global programs to adhere to regulations and exchange rules. This role will involve developing and deploying a comprehensive compliance program across APAC offices, focusing on preventing, detecting, and responding to compliance risks and misconduct.

The ideal candidate will have experience in the algorithmic and electronic trading space, preferably within a proprietary trading business, focusing on equities and exchange-traded derivatives. Experience in Asian markets, Japan, and India would be highly regarded.

This position will partner closely with senior business leaders, both locally and across the APAC region, on assessing business growth opportunities across APAC.

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  • Provide practical and considered compliance advice to our business across APAC, focusing on algorithmic and electronic trading, as well as other key compliance advisory areas.
  • Review and approve new business initiatives and trading strategies from a regulatory, best practice, and global standards perspective.
  • Proactively identify potential regulatory and compliance risks to the business and industry, develop strategies to address these risks in tandem with key team members and business stakeholders.
  • Partner closely with regional compliance teams across APAC, as well as in the US and EMEA, to meet all regulatory expectations, maintain global consistency, and deliver best-in-class support to the business.
  • Advise on rules and regulations affecting the firm's businesses, with appropriate implementation of relevant policies and training to the Business, Business Control Group, and other functions.
  • Establish and manage effective relationships with internal and external stakeholders, including exchanges and regulators, in the markets covered.
  • Collaborate with regional Compliance teams to devise a compliance framework for tracking regulatory developments and obligations.

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  • 7-10 years of solid hands-on compliance advisory experience in equities, as well as futures and options, with major investment banks or high-frequency trading firms.
  • Previous experience with APAC regulators is an advantage.
  • Must have solid knowledge of the regulatory framework across Asian markets.
  • A high level of attention to detail is a prerequisite, as is a passion for excellence.
  • The ability to work under pressure and within tight deadlines to a consistently high level of accuracy.
  • Must be able to show initiative and react quickly to changes in priorities, with the ability to quickly learn new procedures.
  • Strong collegial attitude, focused on the overall success of the team and the firm.
  • Excellent verbal and written communication skills.
  • Fluency in Mandarin or Japanese is preferred.

Education:

  • University degree required.

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