Equities Compliance & Risk Oversight (APAC)

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

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.