Senior Regulatory Compliance Expert

5 days ago

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

Role Overview

The Senior Regulatory Compliance Expert will play a key role in ensuring the firm's programs adhere to regulations and exchange rules across APAC and globally. They will be involved in developing and deploying an overall compliance program within the APAC offices, encompassing various aspects of compliance, including risk prevention, detection, and response.

The ideal candidate should have experience in algorithmic and electronic trading, preferably within a proprietary trading business, focusing on equities and exchange-traded derivatives. Experience across Asian markets, particularly Japan and India, is highly valued.

This position requires close collaboration with senior business leaders, both locally and across the APAC region, to assess business growth opportunities across APAC.

Responsibilities:
  • Provide expert regulatory compliance advice to the business across APAC, focusing on algorithmic and electronic trading, as well as other key areas.
  • Review and approve new business initiatives and trading strategies from a regulatory standpoint, adhering to global standards and best practices.
  • Proactively identify potential regulatory and compliance risks and develop strategies to mitigate these risks, working closely with key team members and stakeholders.
  • Collaborate with regional compliance teams across APAC, as well as in US and EMEA, to ensure compliance with all regulatory requirements and maintain global consistency.
  • Advise on rules and regulations affecting the firm's businesses, implementing relevant policies and training for Business, Business Control Group, and other functions.
  • Establish and maintain effective relationships with internal and external stakeholders, including exchanges and regulators, in the covered markets.
  • Work with regional Compliance teams to devise a compliance framework for tracking regulatory developments and obligations.

Qualifications:

  • 7-10 years of hands-on compliance advisory experience in equities and futures/options with major investment banks or high-frequency trading firms.
  • Previous experience with APAC regulators is an advantage.
  • Strong knowledge of the regulatory framework across Asian markets is essential.
  • A high level of attention to detail and a passion for excellence are required.
  • The ability to work under pressure and meet tight deadlines while maintaining accuracy is crucial.
  • The candidate must demonstrate initiative and adaptability, quickly learning new procedures and reacting to changes in priorities.
  • A strong collegial attitude focused on team success and excellent verbal and written communication skills are necessary.
  • Fluency in Mandarin or Japanese is preferred.

Salary:$120,000 - $180,000 per annum, depending on experience.

  • Senior Regulatory Compliance Expert

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    **Job Title:** Senior Regulatory Compliance Expert**Company Overview:** At Harbridge Partners, we pride ourselves on our friendly and western company culture. Our team is dedicated to delivering exceptional results in a fast-paced environment.**Salary:** The estimated annual salary for this role is between HKD 600,000 to HKD 900,000 depending on...

  • Senior Compliance Expert

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Axiom Full time

    About the RoleThis Senior Compliance Expert position is a key opportunity to drive regulatory excellence and ensure adherence to relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement compliance programs and policies to maintain regulatory compliance.Conduct regular risk assessments and audits to identify potential...

  • Compliance Expert for Regulatory Frameworks

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Ashford Benjamin Ltd. Job PostingJob Title: Compliance Expert for Regulatory FrameworksSalary: $120,000 - $180,000 per annumJob Description:Company OverviewAshford Benjamin Ltd is a leading provider of financial services and solutions.Job SummaryWe are seeking an experienced Compliance Expert to join our team in the development and implementation of...

  • Regulatory Compliance Expert

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    The Bank of China (Hong Kong) Limited seeks a highly skilled Regulatory Compliance Expert to join its team. As a key member of the compliance function, you will play a crucial role in ensuring the bank's adherence to regulatory requirements and industry standards.Job OverviewThis is an exciting opportunity for a seasoned compliance professional to leverage...

  • Regulatory Compliance Expert

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Jane Street Full time

    About the PositionWe're looking for a diligent Regulatory Compliance Expert to join our Legal and Compliance team at Jane Street. This role involves ensuring our Asia offices operate in compliance with local, APAC, and international regulations. You'll be responsible for regulatory filings, trade surveillance, monitoring tasks, and overseeing control room...

  • Regulatory Compliance Expert

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    At Ashford Benjamin Ltd, we are seeking a highly skilled Regulatory Compliance Expert to join our team. The successful candidate will be responsible for overseeing and implementing our regulatory compliance framework, ensuring that our trading activities are in line with all relevant laws and regulations.Key responsibilities include:Developing and...

  • Regulatory Compliance Expert

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Expert to provide comprehensive compliance advisory services to clients regulated by the Securities and Futures Commission (SFC). The ideal candidate will have a strong background in regulatory compliance and exceptional client-facing abilities.Key ResponsibilitiesClient Management: Serve as...

  • Senior Regulatory Expert

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China China Mobile International Limited Full time

    **Regulatory Expertise for Global Market Development**We are seeking a seasoned Senior Regulatory Expert to join our team at China Mobile International Limited. As a key member of our global regulatory affairs team, you will play a crucial role in shaping our regulatory strategy and ensuring compliance with international regulations.**Key...

  • Compliance Manager

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job Title: Compliance Manager - Regulatory ExpertAt Bank Of China (Hong Kong) Limited, we are seeking a highly skilled Compliance Manager - Regulatory Expert to join our team.Key Responsibilities:* Provide advisory services to business units regarding regulatory compliance issues on new products/services and business propositions* Participate and assist in...

  • Regulatory Compliance Expert Lead

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time

    OverviewIQ-EQ is seeking a highly skilled Regulatory Compliance Expert Lead to provide comprehensive compliance advisory services to clients regulated by the Securities and Futures Commission (SFC).About the RoleThis senior position involves delivering compliance consultancy services to SFC-regulated financial institutions, addressing complex compliance...

  • Compliance and Regulatory Expert

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ares Management Corporation Full time

    About the RoleWe are seeking an experienced Compliance and Regulatory Expert to support the Asia Pacific region, with a primary focus on Hong Kong. The successful candidate will work closely with the Ares Management global Compliance and Regulatory functions to identify and manage compliance requirements for a Hong Kong licensed fund management...

  • Compliance Manager

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at Bank Of China (Hong Kong) Limited. As a key member of our Compliance Division, you will be responsible for providing advisory services to designated business units regarding regulatory compliance issues.Key ResponsibilitiesProvide expert advice on regulatory compliance matters...

  • Regulatory Compliance Expert

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Interactive Brokers Full time

    Job Title: Regulatory Compliance Expert - Hong KongEstimated Salary: $250,000 - $400,000 per annum.Company Overview:Interactive Brokers is a leading online financial services company offering direct access to global markets. We are seeking a highly skilled Regulatory Compliance Expert to join our team in Hong Kong.Responsibilities:We are responsible for...

  • Regulatory Compliance Expert

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Projob21 Ltd. Full time

    Job OverviewWe are seeking an experienced Regulatory Compliance Senior Manager to join our team at Projob21 Ltd. in North Asia Branch and operations in over 20 locations.

  • Regulatory Compliance Expert

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Jane Street Full time

    About Jane StreetWe 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...

  • Risk & Regulatory Compliance Expert

    1 week ago

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

    Sia Partners is a global consulting firm with a strong presence in Hong Kong, providing expert advice to leading financial institutions.The estimated salary for this role is between HKD 900,000 and HKD 1,200,000 per annum, depending on experience.Job DescriptionWe are seeking an experienced Risk & Regulatory Compliance consultant to join our team in Hong...

  • Compliance Expert with AML and Regulatory Oversight

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China TalentQuest HR Limited Full time

    Job SummaryTalentQuest HR Limited seeks a seasoned Compliance Expert to oversee Anti-Money Laundering (AML) and regulatory compliance for our Fintech operations. The ideal candidate will provide strategic advice, monitor regulatory requirements, and ensure adherence to compliance standards.About the RoleWe are looking for an experienced professional to fill...

  • Senior Banking Compliance Expert

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Fubon Bank Full time

    At Fubon Bank, we are seeking a seasoned Senior Banking Compliance Expert to join our team in Hong Kong. The successful candidate will be responsible for providing expert advice on regulatory compliance requirements and ensuring the bank's adherence to relevant laws and regulations.Responsibilities:Regulatory Advice: Provide guidance on existing and new...

  • Regulatory Compliance Expert for APAC Markets

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Jane Street Full time

    Jane Street, a global trading firm, is seeking an experienced Regulatory Compliance Expert to join its Hong Kong team.About the RoleThis role involves working closely with internal business groups to identify and advise on regulatory reporting and compliance issues related to Jane Street's Asian Business. Key responsibilities include staying up-to-date with...

  • Financial Services Professional

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Goldman Sachs Full time

    About Goldman SachsFounded in 1869, Goldman Sachs is a leading global investment banking, securities and investment management firm. Our commitment to our people, capital and ideas helps our clients, shareholders and the communities we serve grow.Job Title: Financial Services Professional - Compliance and Regulatory ExpertSalary: Estimated salary range is...