Job Description

Compliance role (Equities Derivatives)

Purpose of the role
To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in compliance with Client’s legal, regulatory and ethical responsibilities.

Accountabilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.

• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
  Conduct investigation of compliance risk events or breaches.

• Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.

• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.

• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.

• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

3 Must haves skill set:

• Compliance background

• Investment bank work experience

• Familiar with HK securities rules and regulation

Good to have:

• Equities Derivatives product knowledge

• 6 years + work experience

• Fluent in both English and Mandarin

Optimum Solutions, is a full spectrum Software Solutions and a Managed Services Company providing Professional Services since 1997, we have been providing IT consulting professionals to major national and local firms, Fortune 500, software integrator\nand software development companies, and major national and local consulting firms.\nOpportunities abound when you work @ Optimum, a World-Class Software Solutions and Service Provider. Our client list includes major Fortune 500 organizations, customers are primarily from Banking and Finance, Manufacturing, Distribution, Technology,\nService and Healthcare verticals.\nWe have got over 2200 consultants working with us and have developed into a rapidly growing, highly competitive and responsive firm with strong management, technical and financial resources and commitment to fully serve its clients in Singapore, USA,\nChina, Malaysia, Philippines and India.