Associate (Compliance and Risk Control), Equity Derivatives

GF Securities (Hong Kong); Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

GF Securities (Hong Kong) is seeking a competent compliance and risk-control professional to support the ongoing review of OTC derivatives business and related risk-monitoring activities. The role involves AML, due diligence, limit monitoring, and regulatory reporting, with duties spanning policy tracking and risk reviews.

The candidate should have a Master’s degree or higher, 2–5+ years in a securities firm or financial institution, familiarity with OTC derivatives rules, and excellent

Qualifications

• Master's degree or above; finance, accounting, legal or interdisciplinary backgrounds preferred.
• 2–5+ years of relevant work experience in compliance and risk control in sizable securities firms or financial institutions.
• Familiarity with OTC derivatives or securities lending rules preferred.
• Proactive, rigorous, detail-oriented with strong sense of responsibility and teamwork.

Responsibilities

• Review day-to-day operations: trade-flow approval, risk-data reporting and self-assessments.
• Monitor risk data, AML, and exception handling across live portfolios.
• Track regulatory developments and update policies, plus risk-awareness training.
• Administer limits and margin controls; draft papers for risk committees.

Skills

Compliance

Risk control

AML

Regulatory reporting

Due diligence

Education

Master's degree

Finance/Interdisciplinary background

Job description

• Day-to-day review and process approval. Support the ongoing review of OTC derivatives business, including trade-flow approval, product/proposal review, risk-data reporting, and periodic self-assessments.
• Risk monitoring, AML, and exception handling. Monitor live portfolios across key metrics such as notional, concentration, margin, and exposure. Carry out customer due diligence, source-of-funds checks, and suspicious-transaction management. Investigate and resolve limit breaches, trading halts, valuation issues, and other exceptions to keep the business compliant and sound.
• Policies, regulatory tracking, and training. Track onshore and offshore regulatory developments, work with Head Office risk, keep processes and policies current, and deliver internal communication and risk-awareness training.
• Limits and margin operations. Administer departmental limits and OTC derivatives margin requirements, applying the rules appropriate to each business model. For breaches or special arrangements, draft exception and risk-committee papers covering amount, tenor, restrictions, and exit conditions, and follow through to implementation.
• Daily reporting, reconciliations, and system controls. Produce daily reports for key products and reconcile them to official notional and concentration figures. Where pre-trade system checks are incomplete, run intra-day and end-of-day off-system reviews, raise system enhancements, and support user acceptance.
• Risk reviews and regulatory/audit support. Conduct periodic risk reviews and support internal/external audits, regulatory examinations, and group inspections, including preparation of files, limit-change records, and client-communication evidence.

Job Requirements

• Master's degree or above. Candidates with finance, accounting, legal or interdisciplinary backgrounds are preferred.
• With at least 2 to 5 years or above relevant work experience in compliance and risk control in sizable securities firms or financial institutions.
• Familiarity with rules governing OTC derivatives or securities lending business is preferred.
• Proactive, rigorous and detail-oriented, with a strong sense of responsibility, quick learning ability, good teamwork spirit.
• High work efficiency, strong resilience under pressure.
• Strong communication skills in Mandarin and English, both written and verbal.