Compliance Manager (Hong Kong), APAC
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Job Location:
Monthly Salary:
Posted on:
10 hours ago
Vacancies:
1 Vacancy
Department:
Job Summary
Overview
Class: Full-time AND Permanent
Legal Entity: StoneX Financial (HK) Limited
Report to: Head of Compliance APAC
Company Overview:
Connecting clients to markets and talent to opportunity.
With5400 employees and over80000institutionalcommercialandpaymentsclients weoperatefrom more than80 offices spread across six continents. As a Fortune 100 Nasdaq-listed provider we connect clients to the global markets focusing on innovation human connection and providing world-class products and services to all types of investors.
Whether you want to forge a career connecting our retail clients to potential trading opportunities or ingrain yourself in the world of institutional investing StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Business SegmentOverview:
Corporate:Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing andfinancial managementto human resources and operational oversightyoullhave the opportunity tooptimizeprocesses and implement game-changing policies.
Responsibilities
Position Purpose:
This role at StoneX will manage business regulatory compliance financial crime compliance and reputational risks in Hong Kong advising businesses and senior management managing audits and inquiries conducting compliance monitoring and administrating training.
Primary duties include:
- Provide business and compliance advice to senior management and business units such as Exchange-Traded Derivatives and Fixed Income Securities
- Handle regulatory liaison regulatory reporting regulatory change management complaints handling compliance monitoring compliance risk assessment marketing outsourcing training and management reporting
- Provide KYC Onboarding support to meet Hong Kong requirements (e.g. professional investor certification)
- Ensure effective measures are in place to identify assess and mitigate compliance risks in Hong Kong. Update policies procedures and controls to meet regulatory requirements in Hong Kong.
- Provide regulatory advice on business expansion (e.g. Outsourced Trading Leveraged FX Trading OTC Derivatives Products)
- Provide regulatory advice on China business (e.g. Precious Metals Brokerage Payments)
- Assist in audits investigations and responding to queries from regulators and exchanges
- Collaborate with regional Compliance & AML team
Qualifications
To land this role you will need:
- Minimum 5 years of experience in financial services regulatory environment involving Types 1 2 and 3 licenses and/or Securities Futures Contracts Leverage FX Trading and OTC Derivatives products
- Work experience in Hong Kong regulator (past or present) is strongly preferred
- Work experience in banks brokerages or audit firms involving Securities Futures Contracts Leverage FX Trading and OTC Derivatives products
- Knowledge of Hong Kong regulations and best practices
Education / Certification Requirements:
- University Degree in accounting business finance law or related fields
- Professional certification in compliance is advantageous
#LI-Hybrid #LI-GM1
Required Experience:
Manager
About Company
We are an institutional-grade financial services franchise that provides global market access, clearing and execution, trading platforms and more.
