Compliance Specialist, Control Room

About the Position

We are looking for an experienced Compliance Specialist to own and grow our control room function in Hong Kong. This team decides when Jane Street should stop trading a name — for example, if we've been wall-crossed on a deal, or due to sanctions or other regulatory concerns.

Our trading business in Asia is growing quickly, and the volume and variety of restrictions we handle is growing with it. On any given day you might be walking a desk through what they can and can't do while a restriction is live, working with our Global Capital Markets team on a time-sensitive block or assessing whether a new sanctions regime touches instruments we hold. 

Additional responsibilities of the role will include:

• Running day-to-day restriction processes end-to-end, including evaluating the scope of affected names, applying and lifting restrictions, and record keeping

• Advising traders, our Business Development team, and other teams on what a restriction means in practice

• Owning the policies and procedures behind these business lines and processes, and keeping them accurate as our business, systems and regulations change

• Handling sanctions and government-driven trading restrictions and monitoring for any changes that affect us

• Supporting surveillance, look-back reviews, and information barrier and clean room arrangements where MNPI is involved

• Continuing to build and evolve our control room function over time

About You

• Have 7+ years of compliance experience at a financial institution, with meaningful time in a control room or capital markets compliance or equivalent restricted list function

• Have a high degree of familiarity with wall crossings, information barriers and MNPI controls work in practice

• Comfortable making judgment or escalation calls under time pressure 

• A strong written communicator who can produce policy and procedure documentation as needed

• A strong verbal communicator who is capable of liaising with traders to understand live and proposed flows and translate them into compliance requirements

• Familiar with APAC regulatory frameworks (Hong Kong and China especially) and with sanctions regimes affecting global trading

• Fluent in English

 

If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com