Our client is headquartered in New York. As one of the world's leading hedge funds, they produce most of its revenue from cash equities and electronic trading. They are currently recruiting for VP Compliance to assist the existing compliance team.
This position will provide regulatory compliance advisory, development and surveillance of the firm's regulatory and compliance program.
Main Responsibilities:
- Conducting regulatory and surveillance processes for cash equities trading and algorithmic trading.
- Partnering with other regional and global compliance groups to provide regulatory advisory services.
- Acting as an advisor for senior management on all compliance matters and establishing a good compliance culture.
- Ensuring that policies, controls and procedures are in place.
- Developing a compliance monitoring program to ensure issues are appropriately addressed and resolved.
- Participation in projects and compliance training activities.
Requirements:
- A minimum of seven years of compliance experience in the financial industry, specifically in equities compliance or hedge fund environment.
- Sound knowledge of financial services rules and regulations i.e. SFC, SEC, NFA
- Excellent oral and written communication skills.
- Ability to develop an understanding of trading rules and regulations and, at the same time, a sophisticated grasp of trading technology systems and platforms.
- Fluency in Mandarin/Cantonese a plus.
If you are interested in this role, please apply below or contact me for more information.
