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Senior Compliance Officer



  • 上海
  • 全职职位
  • 35444
  • 05/07, 2024
  • 有竞争力的


• Contribute to identify and assess compliance risks associated with business and operations; specific focus on delivering second line oversight of the capital markets trading business activities.
• Contribute to provide advice on regulatory matters and interpretation of regulations and exchange rules.
• Stay updated on regulatory changes and be capable to clearly interpret and explain rules and regulations to internal stakeholders.
• Possess good understanding of trading behaviours and contribute to Implement and oversee trading surveillance systems to monitor and analyse trading activities for potential regulatory breaches or market abuses.
• Develop, revise, and enforce internal compliance policies, especially those related to trading activities.
• Regularly review and report on trading activities, highlighting issues or risks.
• Serve as the key contact for compliance and trading surveillance inquiries for equity trading and derivatives trading.
• Build and maintain relationships with regulatory bodies and external stakeholders.
• Ensure transparent communication and reporting practices.

Job Requirements

• Bachelor’s degree in Law, Finance, Accounting, or a related field.
• Minimum of 4 years’ experience in a compliance role within capital markets, with good exposure in market operations and trading surveillance.
• Profound knowledge of equity and derivatives market regulations, surveillance systems, and trading practices.
• Strong analytical skills with attention to detail.
• Excellent written and oral English skills to articulate technical issues and effectively communicate with individuals across the business.
• Excellent communication and interpersonal skills.