- Ensure with various controls and procedures continuous compliance of their operations within the legal rules of authorities and exchanges. Monitor and analyse relevant external legal developments and translate these into new compliance procedures and controls

- Analyse existing and new trading strategies in various markets on possible compliance breaches and operational risks and consult on improvements

- Assist in auditing business areas to ensure that all applicable group policies and regulatory requirements are adhered to

- Maintain and update regulatory information, rules and requirements

- Develop compliance education information for employees

- Monitor and uphold employee compliance policy

- Provide support and assistance to ad hoc compliance and legal matters

Requirements:

- Relevant tertiary qualifications in Legal, Finance, Commerce and Accounting is preferred. 

- At least 3 years and above working experience for compliance/legal related matters

- Preferable to have 2 years working experience in financial Industry

-Solid knowledge in the exchange rules of the Hong Kong Stock Exchange.  Preferable with working knowledge in other exchanges in Asia.

- An excellent communicator.

- Assertive when talking to the representatives of exchanges

- Fluent in English and Cantonese. Japanese is a plus.