Senior Compliance Associate
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Job Location:
Monthly Salary:
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
Overview
As a Senior Compliance Officer based in our Hong Kong office youll help ensure trading activity in Hong Kong complies with local regulations as well as provide support for trading in other APAC markets. You will collaborate closely with Traders Technology and Operations providing timely guidance and support trade monitoring.
What youll do
- Develop and oversee programs and systems to ensure compliance with market rules regulations and internal policies across Susquehannas APAC trading businesses
- Review trading systems development and testing of systems and controls.
- Support trading activity from the point trades are executed through post trade analysis to verify that the firm is meeting all of its regulatory requirements.
- Provide training and guidance on financial markets and products trading strategies (e.g. short selling).
- Liaising with technology teams to contribute to design development and documentation of compliance and risk specific IT applications.
- Development of compliance monitoring to ensure trading systems operation and behaviour are working as expected.
- Working collaboratively with colleagues in our Asia Pacific USA and Europe locations in support of all relevant strategic business initiatives.
- Liaise with regulators and exchanges (primarily Hong Kong).
- Develop and maintain strong relationships with industry stakeholders to stay abreast of key regulatory changes and best practices in surveillance and review.
What were looking for
- 8 years of experience in markets Compliance.
- Excellent oral written and interpersonal communication skills with the ability to communicate complex information to all levels of the firm
- Exhibit a strong solution focused approach which leads to timely resolutions
- Tertiary qualified and IT literate.
- Professional or industry qualifications preferred.
- Knowledge of Asia regulatory developments and compliance issues.
- Understanding of Hong Kong Securities and Futures Ordinance and SFC Licence regime.
- Knowledge of other markets e.g. AU/US/EU preferred.
- Knowledge of exchange trading rules regulations and associated market practices
- Excellent writing and communication skills to contribute and write compliance policy and procedures relevant to compliance risk and IT areas.
- Equity and derivative market experience/exposure.
- Strong conceptual understanding of IT compliance systems including development review and testing.
- Ability to work autonomously and as a member of the wider APAC team.
About Susquehanna
What we do
Susquehannas deep integration of trading technology and quant research makes us experts in trading essentially all listed financial products and asset classes with a focus on derivatives. We handle millions of trading transactions around the world every day as both a market maker and market taker. Our efforts provide liquidity and ensure competitive prices for buyers and sellers. While our presence in the market is broad our trading desks are highly specialized to allow for a deep understanding of the unique drivers of each asset class.
Equal Opportunity Statement
We encourage applications from candidates from all backgrounds and we welcome requests for reasonableadjustmentsduring the recruitment process to ensure that you can best demonstrate your abilities.
If youre a recruiting agency and want to partner with us please reach out to Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.
#LI-DN1 #LI-Onsite
Required Experience:
Senior IC
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Discover Susquehanna, a global quantitative trading firm built on a rigorous, analytical foundation in financial markets.
