Associate (Compliance and Risk Control), Equity Derivatives

GF Holdings (Hong Kong) Corporation Limited; Hong Kong; On-site; HKD 400,000 - 700,000; Full time

Job summary

GF Holdings (Hong Kong) Corporation Limited is hiring for a compliance and risk-control role focused on the oversight of OTC derivatives, AML controls, and risk reporting in a fast-paced environment.

The successful candidate will review daily workflows, monitor live portfolios, maintain regulatory tracking, and support audits with a proactive and rigorous approach.

Qualifications

• Master’s degree or above; finance, accounting, legal or interdisciplinary backgrounds are preferred.
• 2–5 years or more in compliance and risk control at sizable financial institutions.
• Familiarity with OTC derivatives or securities lending rules is preferred.
• Proactive, rigorous and detail-oriented with a strong sense of responsibility and teamwork.
• High work efficiency and resilience under pressure.
• Strong communication in Mandarin and English, written and verbal.

Responsibilities

• Day-to-day review and process approval; support OTC derivatives review, trade-flow approval, risk-data reporting, and self-assessments.
• Risk monitoring, AML and exception handling; monitor portfolios by notional, concentration, margin and exposure; conduct due diligence and investigate breaches.
• Regulatory tracking and training; monitor developments, update policies, and deliver risk-awareness training.
• Limits and margin operations; administer limits and margin rules, draft exception papers with details, and ensure implementation.
• Daily reporting, reconciliations and system controls; produce key product reports and perform end-of-day checks.
• Risk reviews and audit support; prepare files, change records and evidence for internal/external audits.

Skills

Communication

Detail-oriented

Proactive

Teamwork

Education

Master's degree or above

Job description

• Day-to-day review and process approval


• Master's degree or above


• Risk monitoring, AML, and exception handling

Responsibilities:

• 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.

• 日常审查与流程审批: 参与场外衍生品日常审查, 包括交易流程审批、业务方案审查、风控数据报送、定期自查。




• 风险监控、AML 与异常处置：对存续组合做有效监控：名本、集中度、只数、多空匹配、相关性、IA/Exposure、追保线与实缴保证金。开展客户身份识别、受益所有人、资金来源与可疑交易管理；对同票聚集、异常 POV、风格突变、超限、停牌、估值中断做排查处置，确保合规和稳健经营。




• 制度、监管与培训：跟踪境内外监管，对接总部部门风控岗，修订流程制度，做内部宣导和风险防范培训。




• 限额与履保营运：维护并执行部门限额表与场外衍生品业务履保要求；区分标准方案、交易型动态模型、多空方案等履保模式。超限或拟特殊需求时，起草特批/风控会材料，列明金额、期限、禁止开仓与退出条件，跟踪减持或提额落地。




• 日报、对账与系统控制：完成重点产品（如多空中性基金、票据组合）日报与官方名本/集中度对账；校验 FX、IA 公式、Exposure 符号。在簿记系统事前核额不完善时，组织 T+0/T+1 系统外排查；提出并验收系统补丁。




• 定期排查潜在风险与检查迎检：配合内审、外审、监管及集团检查，准备台账、限额变更记录、客户沟通与追保证据。

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.

• 2-5年工作经验，硕士研究生及以上学历，有金融、财务、法律或复合相关背景优先。




• 熟悉场外衍生品业务或融券业务的相关规则优先。




• 工作积极主动、严谨细致，有责任心，学习能力强，具有良好的团队协作精神以及沟通表达能力。




• 工作效率高，抗压能力强，具备一定的文字功底和语言力。