Senior Compliance Officer, Compliance

• Primarily responsible for advising, monitoring, and overseeing the equity and derivatives business
• Supervising compliance testing, risk inventory maintenance, and risk assessment
• Managing information control in general, including personal data, transactional data, and other proprietary information such as trade secrets
• Assisting different lines of business with cross-selling products by providing advice on laws and regulations and creating robust control processes
• Reviewing research and sales memos, and solicitation materials, such as pitch books    
• Advising the Client Onboarding team on KYC requirements
• Assisting the Japan Head of Compliance with day-to-day operations
• Supporting other team members with daily tasks such as regulatory filings and monitoring
   

• Master’s degree or higher in law, finance, business, or economics
• A minimum of 5 years of relevant experience in legal or compliance functions
• Legal qualification is an advantage
• Candidates with less experience will be considered for Associate Director
• Knowledge of operations, finance, or IT is an advantage
• At least 3 years of work experience in financial institutions
• Strong problem-solving and multitasking skills
• Willing to take on new challenges; proactive, ready to get involved, and able to initiate any risk-control projects deemed necessary, such as those related to operational risk, information control, and monitoring
• Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, commodities, and funds, is an advantage
• A team player, proactive and inquisitive, who can manage their ego
• Fluent in both spoken and written English
• Fluency in Chinese is preferred

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