Compliance Manager

Responsibilities

• Ensure compliance with SFC and HKEX rules and regulations (Type 1 and Type 2 regulated activity)
• 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
• Conduct 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 or with the SFC
• Deep knowledge of HK (SFC and HKEX) regulations for dealing in securities and futures
• Strong Excel skills and experience working with large datasets
• Fluency in English and ability to speak Cantonese
• Organized with exceptional attention to detail and ability to work in a fast-paced environment

Preferred Qualifications

• VBA, SQL, or Python skills
• Familiarity with surveillance products

About the Company

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world.