Associate (Compliance and Risk Control), Equity Derivatives

GF Holdings (Hong Kong) Corporation Ltd; Hong Kong Island; On-site; HKD 480,000 - 800,000; Full time

Job summary

GF Holdings (Hong Kong) Corporation Ltd is seeking an Associate (Compliance and Risk Control) for Equity Derivatives. You will perform day-to-day review and process approvals, supporting OTC derivatives business and risk data reporting.

You will monitor risk, AML, customer due diligence, and exception handling, and assist in regulatory tracking, policy updates, and risk training. Strong Mandarin and English communication skills are required.

Qualifications

• Master's degree or above.
• 2-5 years or more 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.

Responsibilities

• Day-to-day review and process approval for Equity Derivatives.
• Support ongoing review of OTC derivatives business, including trade-flow approval, product/proposal review, risk-data reporting, and self-assessments.
• Monitor risk, AML, and exception handling across portfolios; perform due diligence and source-of-funds checks.
• Track regulatory developments, maintain policies, and deliver risk-awareness training.
• Administer limits and margin requirements; draft exception and risk-committee papers.

Skills

Mandarin and English communication

Education

Master's degree

Job description

Associate (Compliance and Risk Control), Equity Derivatives

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.

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.