Compliance Manager - Hong Kong at DRW

Hong Kong

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Not SpecifiedCompensation

Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, TradingIndustries

Requirements

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
Deep knowledge and thorough understanding of HK (SFC and HKEX) regulations for dealing in securities and dealing in futures
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

Responsibilities

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

Skills

SFC compliance

HKEX regulations

Type 1 regulated activity

Type 2 regulated activity

China Connect markets

trade surveillance

market conduct monitoring

regulatory filings

policy updates

financial markets

DRW

Proprietary trading and risk management firm

About DRW

RGM Advisors engages in proprietary trading using its own capital to operate in various financial markets. The firm focuses on developing trading strategies that utilize advanced technology and data analytics to manage risk and pursue high returns. By serving institutional clients such as hedge funds and investment banks, RGM Advisors maintains a flexible business model that allows it to trade its own money, rather than clients' funds. This approach enables better risk management and the ability to generate revenue through trading profits, achieved by employing sophisticated algorithms and market-making strategies. RGM Advisors is distinguished by its global presence and its commitment to attracting top talent, providing them with the tools needed to excel and rewarding exceptional performance.

Chicago, IllinoisHeadquarters

2001Year Founded

M_AND_ACompany Stage

Quantitative Finance, Financial ServicesIndustries

1,001-5,000Employees

Benefits

Daily catered breakfast & lunch

Massages

Social events

Gym subsidy

Flexible work arrangements

Monthly tastings

Game room

On-site yoga classes and meditation

Employee led affinity groups

Mentor/mentee outings

Trivia nights

Educational opportunities

DRW-sponsored sports teams

Poker tournament

Private mother's suite

Risks

Increased competition from algorithmic trading firms may erode DRW's market share.

Cryptocurrency market volatility poses risks to DRW's crypto-assets strategy.

Talent war in tech and finance sectors may impact DRW's ability to retain top talent.

Differentiation

DRW combines technology, research, and risk management for diversified trading opportunities.

They operate using their own capital, allowing quick pivots to capture opportunities.

DRW has expanded into real estate, venture capital, and crypto-assets.

Upsides

Machine learning algorithms enhance predictive accuracy and risk management in trading.

DeFi platforms offer new opportunities for higher returns in crypto-assets.

Quantum computing revolutionizes trading strategies with faster, complex data analysis.

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