Overview

Role Summary

HK based position.Reporting to Head of Compliance based in Sydney.Primary focus will be compliance responsibilities for trading on HK Ex and TSE.Liaise with regulators and exchanges (primarily Japan and Hong Kong).Provide training and guidance on financial markets and products, trading strategies (e.g. short selling).Ensure compliance with anti-money laundering (AML) procedures and provide AML training.Ensure compliance with statutory reporting requirements (e.g. substantial shareholding reports).Maintenance and review of proprietary trading systems controls, filters, parameters and reports.Maintenance and development of regulatory licence programs, compliance manuals, policies and procedures.
What we're looking for

Applicant Requirements (General)

Tertiary qualified and IT literate.Professional or industry qualifications preferred.Excellent writing and communication skills.3 years or more experience of compliance in financial institutions such as security firms, banks or insurance companies within 3 years.Equity and derivative market experience/exposure preferred.

Non Mandatory/Preferred

Japanese language skillsExperience in regulatory reporting and other communications  with the Financial Services Authority of JapanCompliance experience in a Japanese financial institution that is conducting a securities trading business;Japan Security Dealers Association (JSDA) qualification as internal control manager

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