Senior Compliance Officer, Compliance

Key Areas of ResponsibilitiesPrimarily responsible for advising, monitoring, and overseeing the equity and derivatives businessSupervising compliance testing, risk inventory maintenance, and risk assessmentManaging information control in general, including personal data, transactional data, and other proprietary information such as trade secretsAssisting different lines of business with cross-selling products by providing advice on laws and regulations and creating robust control processesReviewing research and sales memos, and solicitation materials, such as pitch booksAdvising the Client Onboarding team on KYC requirementsAssisting the Japan Head of Compliance with day-to-day operationsSupporting other team members with daily tasks such as regulatory filings and monitoringRequirementsMaster’s degree or higher in law, finance, business, or economicsA minimum of 5 years of relevant experience in legal or compliance functionsLegal qualification is an advantageCandidates with less experience will be considered for Associate DirectorKnowledge of operations, finance, or IT is an advantageAt least 3 years of work experience in financial institutionsStrong problem-solving and multitasking skillsWilling to take on new challenges; proactive, ready to get involved, and able to initiate any risk-control projects deemed necessary, such as those related to operational risk, information control, and monitoringProduct knowledge in certain areas, including derivatives, M&A, private and/or public offerings, commodities, and funds, is an advantageA team player, proactive and inquisitive, who can manage their egoFluent in both spoken and written EnglishFluency in Chinese is preferred