Business Oversight Compliance (Equities)

Optimum Solutions Pte Ltd; Hong Kong; On-site; HKD 1,000,000 - 1,400,000; Full time

Job summary

Optimum Solutions Pte Ltd in Hong Kong is seeking a seasoned Compliance professional to oversee day-to-day coverage for the Equities business, including Prime Services, Equity Derivatives and F&O. You will assess risks and partner with the business to ensure adherence to local and international standards.

You will work with 1LOD, Legal, Risk and global Compliance colleagues to support risk management across APAC while driving policy rollout and monitoring market conduct across trading activities.

Qualifications

• 6+ years of financial compliance experience.
• Experience in an Investment Bank or Global Markets environment.
• Strong understanding of equities products including prime brokerage, equity derivatives, and F&O.
• Professional fluency in English and Mandarin (written and spoken).

Responsibilities

• Project & Change Support: assist with compliance reviews for business projects and system updates across the Equities franchise.
• Risk Assessments: identify and evaluate regulatory and compliance risks in trading activities and control processes.
• Surveillance & Investigations: monitor and investigate potential market conduct issues and compliance breaches.
• Remediation & Challenge: review action plans after incidents to ensure preventive measures.
• Policy & Financial Crime Oversight: support rollout of policies and identify money laundering and sanctions risks.
• Stakeholder Collaboration: partner with 1LOD, Legal, Risk and global Compliance across APAC.

Skills

Compliance experience

Investment Banking

Equities knowledge

English & Mandarin

Job description

Job Title- Business Oversight Compliance (Equities)

Location: Hong Kong (Central)

Business Unit: Markets Compliance / Equities

About the Role

• In this role, you will support day-to-day compliance coverage for the Equities business (including Prime Services, Equity Derivatives, and F&O) and assist with key business projects and strategic initiatives.
• You will conduct risk assessments, monitor market conduct, investigate compliance breaches, and partner with the business to ensure activities meet local regulatory (SFC/HKMA) and international standards.

What You’ll Do

• Project & Change Support: Assist with compliance reviews for business projects, operational changes, and system updates across the Equities franchise.
• Risk Assessments: Help identify and evaluate regulatory and compliance risks in trading activities, operational workflows, and control processes.
• Surveillance & Investigations: Monitor, investigate, and elevate potential market conduct issues (insider dealing, market manipulation, unlawful disclosure) and compliance breaches.
• Remediation & Challenge: Review business action plans following compliance incidents to ensure effective preventive measures are put in place.
• Policy & Financial Crime Oversight: Support the rollout of compliance policies and assist in identifying money laundering, sanctions, and financial crime risks.
• Stakeholder Collaboration: Partner with First Line of Defence (1LOD) business teams, Legal, Risk, and global Compliance colleagues to support risk management across APAC.

What We’re Looking For

• Compliance Background: 6+ years of relevant experience in financial compliance.
• Investment Banking Experience: Hands‑on experience working within an Investment Bank or Global Markets environment.
• Product Knowledge: Strong understanding of equities products, including prime brokerage, equity derivatives, and futures & options (F&O).
• Language Skills: Professional fluency in both English and Mandarin (written and spoken) to effectively collaborate with regional business teams.

What Will Set You Apart

• Equities Exposure: Experience with Equities products—specifically Prime, Equity Derivatives, or Futures & Options (F&O).
• Analytical Mindset: Ability to analyze trading data, surveillance outputs, and process flows to spot potential risks.
• Collaboration & Integrity: Strong communication skills to constructively challenge business processes and align with client values .

Interested candidates may kindly apply to this role to discuss further.