Compliance Manager - Hong Kong at DRW

DRW is seeking a Compliance Manager for their Hong Kong office. The Compliance Manager will join the global compliance team and work with the Head of Compliance for the APAC region. The ideal candidate will possess a knowledge of financial markets, dedication to the team, and attention to detail.

Responsibilities:

• Ensure compliance with SFC and HKEX rules and regulations.
• Monitor regulatory and exchange related developments in Hong Kong and China Connect markets.
• Review and interpret new rules, educate colleagues on changes, and update firm policies and procedures.
• Create and apply a compliance program/monitoring plan for DRW Hong Kong.
• Manage regulatory and exchange form filings in Hong Kong.
• Liaise with SFC and HKEX officials.
• Market conduct monitoring, trade surveillance, communication, and trade execution reviews.
• Ensure overall compliance in a time-sensitive environment.

Requirements:

• Degree in finance, quantitative finance, risk, or related studies.
• 5 to 7 years relevant experience in the financial services industry in HK (experience in compliance dept.) or with SFC.
• Deep knowledge and thorough understanding of HK (SFC and HKEX) regulations for dealing in securities and dealing in futures.
• Strong Excel skills and experience working with large sets of data.
• Reliable and courteous team player with great communication skills.
• Organized with exceptional attention to detail; can work proactively to solve problems and prioritize tasks in a fast-paced environment.
• Eager to learn; able to grow from mistakes and accept feedback.
• VBA/SQL/Python skills and familiarity with surveillance products are a plus.
• Ability to speak Cantonese and fluency in English are required.