Compliance Specialist, Control Room

Jane Street; Hong Kong; Vor Ort; HKD 1.200.000 - 1.800.000; Vollzeit

Zusammenfassung

Jane Street Hong Kong is seeking an experienced Compliance Specialist to own and grow our control room function. This role decides when to stop trading a name and guides traders on sanctions and regulatory concerns.

You will run daily restriction processes, advise traders and business teams, own policies, monitor changes, and support surveillance and information barrier arrangements as MNPI is involved. The role will evolve the control room over time in a fast-paced environment.

Qualifikationen

• 7+ years of compliance experience at a financial institution, with control room or capital markets exposure.
• Familiar with APAC regulatory frameworks and sanctions regimes.
• Fluent in English

Aufgaben

• Run day-to-day restriction processes end-to-end, including evaluating scope of affected names, applying and lifting restrictions, and record keeping.
• Advising traders, Business Development, and other teams on practical implications of restrictions.
• Owning the policies and procedures behind these business lines and keeping them accurate as business, systems and regulations change.
• Handling sanctions and government-driven trading restrictions and monitoring for any changes that affect us.
• Supporting surveillance, look-back reviews, and information barrier and clean room arrangements where MNPI is involved.
• Continuing to build and evolve our control room function over time.

Kenntnisse

Wall crossings

Regulatory controls

Policy writing

Communication skills

APAC regulations

English fluency

Jobbeschreibung

About the Position

We are looking for an experienced Compliance Specialist to own and grow our control room function in Hong Kong. This team decides when Jane Street should stop trading a name — for example, if we’ve been wall-crossed on a deal, or due to sanctions or other regulatory concerns.

Our trading business in Asia is growing quickly, and the volume and variety of restrictions we handle is growing with it. On any given day you might be walking a desk through what they can and can’t do while a restriction is live, working with our Global Capital Markets team on a time-sensitive block or assessing whether a new sanctions regime touches instruments we hold.

Additional responsibilities of the role will include:

• Running day-to-day restriction processes end-to-end, including evaluating the scope of affected names, applying and lifting restrictions, and record keeping
• Advising traders, our Business Development team, and other teams on what a restriction means in practice
• Owning the policies and procedures behind these business lines and processes, and keeping them accurate as our business, systems and regulations change
• Handling sanctions and government-driven trading restrictions and monitoring for any changes that affect us
• Supporting surveillance, look-back reviews, and information barrier and clean room arrangements where MNPI is involved
• Continuing to build and evolve our control room function over time

About You

• Have 7+ years of compliance experience at a financial institution, with meaningful time in a control room or capital markets compliance or equivalent restricted list function
• Have a high degree of familiarity with wall crossings, information barriers and MNPI controls work in practice
• Comfortable making judgment or escalation calls under time pressure
• A strong written communicator who can produce policy and procedure documentation as needed
• A strong verbal communicator who is capable of liaising with traders to understand live and proposed flows and translate them into compliance requirements
• Familiar with APAC regulatory frameworks (Hong Kong and China especially) and with sanctions regimes affecting global trading
• Fluent in English