Feb 14, 2018

Global Proprietary Trading Firm: Compliance Analyst

  • Financial Services
  • Hong Kong
Full time Compliance Securities

Job Description

A global proprietary trading firm is seeking a responsible, careful, and passionate person to continue their career with the firm. This role involves working in the Legal and Compliance team as well as various groups within the firm to provide assistance with monitoring and surveillance, contribution to policies and procedures and advising the various internal teams on relevant rules and regulations. This role requires confidence working with data and interaction with members of several different teams.

This is a global business and the Legal and Compliance group sits at the intersection of the firm’s business areas. This role is an opportunity to gain exposure to the varied operations of global trading and to understand the interaction of various APAC and international regulations.

Teamwork is paramount at this firm, so you should be excited about sharing your work with others. The candidate should expect and look forward to working closely with other team members in a collaborative manner to ensure the group’s goals are met. They offer a challenging environment full of smart and intellectually curious people, who enjoy the challenge and diversity encountered on each day.


About you: 

  • Undergraduate degree

  • 1 – 3 years relevant experience including performing market surveillance. Familiarity with surveillance products such as SMARTS Broker or Actimize is a plus

  • Knowledge of local APAC regulations for Securities dealers operating a global model

  • Reliable, courteous, and flexible team player

  • Strong analytical and problem-solving skills, including experience working with large sets of data

  • Detailed oriented, self-motivated with strong organisational, interpersonal, and communication skills

  • Eagerness to learn and ability to learn from mistakes or accept constructive criticism

  • Ability to handle competing priorities and work effectively in a challenging, fast-paced environment

  • Excellent Excel skills

  • VBA skills are a plus



Years of Experience


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