Business Oversight Compliance (Equities)

Optimum Solutions (Hong Kong) Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Optimum Solutions (Hong Kong) Limited seeks a Business Oversight Compliance professional for the Equities division to support day-to-day compliance coverage across Prime Services, Equity Derivatives, and F&O. You will conduct risk assessments, monitor market conduct, and partner with the business to ensure activities meet regulatory standards.

You will collaborate with Legal, Risk, and 1LOD teams across APAC on project initiatives and remediation efforts, ensuring robust compliance controls and

Qualifications

• 6+ years of relevant experience in financial compliance.
• Hands-on experience in an Investment Bank or Global Markets environment.
• Strong understanding of equities products including prime brokerage, equity derivatives, and futures & options.
• Fluent in English and Mandarin (written and spoken).

Responsibilities

• Risk assessments: identify and evaluate regulatory and compliance risks in trading activities and control processes.
• Surveillance & investigations: monitor and escalate market conduct issues and compliance breaches.
• Remediation & challenge: review action plans following incidents to ensure preventive measures.
• Policy & financial crime oversight: support rollout of policies and identification of money laundering, sanctions, and financial crime risks.
• Stakeholder collaboration: work with 1LOD teams, Legal, Risk, and global Compliance to manage APAC risks.

Skills

Compliance background

Investment banking

Equities knowledge

English & Mandarin

Job description

Business Oversight Compliance (Equities)

Job Title- Business Oversight 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 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 Barclays values.

Optimum Solutions is an enterprise Digital & IT solutions and services company that engineers digital transformation for enterprises characterized by agility, efficiency and innovation.

The Company is headquartered in Singapore with 4000+ talented employees across offices and global delivery centers in 9 countries.

Optimum Solutions is an enterprise Digital & IT solutions and services company that engineers digital transformation for enterprises characterized by agility, efficiency and innovation.

The Company is headquartered in Singapore with 4000+ talented employees across offices and global delivery centers in 9 countries.