Job ref no.: CT3114388-01#7594

Senior Compliance Specialist - Global Exchange/Regulator

Robert Walters

  • Discretionary bonus

This person will be a key regulatory liaison between internal legal/compliance division and various high priority stakeholders including internal sales and marketing, firm clients, and global regulators. This role will be a subject matter expert on emerging regulation regarding OTC and electronic trading.

This person will be expected to:

  • be a key player in the regulatory outreach program responsible for keeping front line business units and firm clients and partners updated on all emerging trading regulation matters
  • collaborate with global teams on interpretation and conveyance of new and emerging regulations that would impact the firm or their clients
  • keep abreast of all new and emerging regulatory requirements, act as firm champion for new regulatory initiatives
  • develop and enhance existing firmwide initiatives to ensure business units are kept properly informed of new regulation
  • other ad hoc duties as required

This person must have:

  • strong baseline knowledge of electronic trading or OTC trading regulation with ability and desire to become a subject matter expert in the area
  • 8+ years of experience in global financial services institutions
  • excellent polish and poise, ability to operate at high level of professionalism in client facing role
  • Fluent in either Mandarin OR Korean languages; one or the other is necessary so as to appropriately service neccessary coverage areas

Get in touch

Tony Wilkey

+852 2103 5338

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More job information
Job ref no. CT3114388-01#7594
  • N/A
Job Function
Employment Term
  • Full-time
  • 8 years - 13 years
Career Level
  • Non-management level
  • N/A