Compliance Officer

• Act as a key day-to-day compliance contact for front-office and business stakeholders in Shanghai and across APAC
• Provide practical, risk-based compliance advisory on trading activity and business initiatives
• Monitor and interpret regulatory developments in China, translating requirements into clear, actionable guidance for regional stakeholders
• Handle day-to-day compliance matters locally, assessing risks and determining appropriate escalation for complex or cross-jurisdictional issues
• Conduct compliance reviews across trading activity, account documentation (including QFI/QFII), and regulatory reporting
• Prepare regulatory filings, reports, and written responses to internal and external stakeholders where required
• Partner with Technology and Operations to implement and enhance compliance controls and monitoring frameworks
• Maintain compliance policies, procedures, and documentation in line with regulatory requirements
• Contribute to training, communications, and cross-border initiatives with APAC compliance teams

职位要求

• 5-10 years of experience in compliance within a trading, financial services, or regulatory environment, ideally with exposure to China markets
• Working knowledge of Chinese regulatory frameworks across equities and derivatives trading (QFI/QFII familiarity preferred)
• Experience in control frameworks and/or regulatory reporting within a trading environment
• Demonstrated ability to exercise sound judgement, and take ownership of day-to-day compliance matters
• Strong written and verbal communication skills in both English and Mandarin, with the ability to clearly articulate complex regulatory concepts to regional stakeholders
• Ability to interpret regulatory requirements and translate them into practical, business-relevant guidance
• Strong stakeholder management skills, with confidence interacting directly with front-office teams
• High attention to detail, with the ability to prioritise effectively in a fast-paced environment