Compliance Manager / Senior Compliance Officer - Financial Markets

Reputable Financial Market Data Firm is looking for a Compliance Manager/ Senior Compliance Officer to provide compliance advisory, in respect of its day-to-day operation and regulatory measures of different stock exchanges. The role is a position of importance as it is to ensure firm activities of all business unit involved in trading financial instruments, as carried out in compliance with applicable regulations, legislation and internal policies.

Key responsibilities include:

- Overseeing and assisting the business to ensure compliance with rules and regulations of different stock exchanges

- Identifying, monitoring and assessing index compliers and stock exchanges for policies or pricing changes and provide finest advisory to business and technical units of the company

- Investigate issues with different departments and recommending relevant changes including update of compliance policies and monitoring plans

Qualifications

- Mandatory working experience in compliance, working within financial industry

- Good understanding of different exchanges regulation, financial conduct authority and other regulators

- Proven track record of managing tasks and objectives in an efficient and timely manner

- Degree holder in (Law/ IT/ Business) mandatory and excellent communications in English and Mandarin/ Cantonese

Due to the high volumes of CVs we receive we are unable to respond to all applications therefore if you have not heard back within 7 days your application has been unsuccessful.