Compliance Manager - Hong Kong

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world. We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk.

Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets. We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets.

We operate with respect, curiosity and open minds. The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it. DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus.

As a Compliance Manager in our Hong Kong office, you’ll join our global compliance team and work with the Head of Compliance for APAC region.  Our environment is dynamic and fast-paced and we are looking for someone who is energized by our innovative culture.  Success in this role means a strong knowledge of financial markets, commitment and dedication to the team, and a keen attention to detail.

What you’ll be doing: 

• Ensure compliance with SFC and HKEX rules and regulations. (Type 1 and Type 2 regulated activity).

• Monitor regulatory and exchange related developments in Hong Kong and China Connect markets.

• Review and interpret new rules, educate colleagues on changes and update firm policies and procedures.

• Create and apply a compliance program/monitoring plan for DRW Hong Kong.

• Manage regulatory and exchange form filings in Hong Kong.

• Liaise with SFC and HKEX officials.

• Market conduct monitoring, trade surveillance, communication and trade execution reviews.

• Ensure overall compliance in a time-sensitive environment.

What we’re looking for: 

• Degree in finance, quantitative finance, risk or related studies.

• 5 to 7 years relevant experience in the financial services industry in HK (experience in compliance dept.) or with SFC.

• Have a deep knowledge and thorough understanding of HK (SFC and HKEX) regulations for dealing in securities and dealing in futures.

• Have strong Excel skills and experience working with large sets of data.

• Reliable and courteous team player with great communication skills.

• Organised with exceptional attention to detail; can work proactively to solve problems and prioritise tasks in a fast-paced environment.

• Eager to learn; able to grow from mistakes and accept feedback.

• VBA/SQL/Python skills and familiarity with surveillance products are a plus.

• Ability to speak Cantonese and fluency in English is required.

For more information about DRW's processing activities and our use of job applicants' data, please view our Privacy Notice at https://drw.com/privacy-notice .

California residents, please review the California Privacy Notice for information about certain legal rights at https://drw.com/california-privacy-notice .

#LI-PR1