Equity Investment - Compliance & Risk Management

Huatai International Financial Holdings Company Limited; Hong Kong; On-site; HKD 1,000,000 - 1,600,000; Full time

Job summary

Huatai International Financial Holdings Company Limited, the overseas arm of Huatai Securities, is seeking an operations-focused professional to manage policies, build a risk framework, and oversee trading across global markets. This role emphasizes policy review, regulatory alignment, and cross-border trading operations.

You will leverage digital tools to create a visualized management platform, support fund planning, and ensure accurate regulatory reporting while communicating in English and

Qualifications

• Bachelor’s degree in Finance, Economics, Law, Mathematics, Statistics, Financial Engineering or a related discipline.
• In-depth understanding of trading processes across global equities, fixed income, commodities and OTC derivatives.
• Strong analytical thinking and advanced Excel skills; proficiency in scripting languages such as Python is a plus.
• Digitally minded, able to propose IT solutions to improve operational efficiency.
• Excellent spoken and written English and Chinese, with strong communication skills.
• Able to work well under pressure.
• Shift work during night hours and public holidays may be required.

Responsibilities

• Manage the department’s business policies and procedures to ensure ongoing compliance with regulatory requirements; review and update policies and processes in line with business development.
• Build a risk management framework combining front-end controls, concurrent monitoring and post-event analysis, tailored to the characteristics of the different business lines of the department, to safeguard sound and stable business operations.
• Oversee business operations including fund planning, account management, trade booking and valuation, operational analytics, and regulatory reporting.
• Execute trading for the department’s various business lines.
• Leverage digital and intelligent technologies to build a business management system covering all business areas of the department, creating a visualized management platform to enhance operational effectiveness and decision-making efficiency.

Skills

Trading knowledge

Excel proficiency

Python scripting

IT solutions

Bilingual English/Chinese

Pressure handling

Night shift

Education

Bachelor’s degree in Finance or related

Job description

About Us:

Huatai International Financial Holdings Company Limited (“Huatai International” or “the Company”), is the only overseas wholly-owned or controlled subsidiary of Huatai Securities. Huatai International is the Huatai Group’s international arm which plays as a crucial role in the group’s internationalization strategy by:
a) not only providing offshore capital market services (and a global business platform) but also provides onshore clients with valuable cross-border capital market services (aligned with the mainland China government’s policies and commercial intentions);
b) actively making use of Huatai Securities’ leading position, distribution network and customer base in mainland China;
c) integrating on a global basis across many jurisdictions and regions, a successful and fully integrated international financial platform with innovative financial services solutions.

Huatai International operates as a holding company for consolidating all of the group’s cross-border businesses and companies under one umbrella, offering a truly unified and international business platform. In recognition of such international strength, the renowned international rating agency Standard and Poor’s has assigned Huatai International a “BBB+” rating (for long term) and “A-2” (for short-term).

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Job Description:

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• Manage the department’s business policies and procedures to ensure ongoing compliance with regulatory requirements; review and update policies and processes in line with business development.


• Build a risk management framework combining front-end controls, concurrent monitoring and post-event analysis, tailored to the characteristics of the different business lines of the department, to safeguard sound and stable business operations.


• Oversee business operations including fund planning, account management, trade booking and valuation, operational analytics, and regulatory reporting.


• Execute trading for the department’s various business lines.


• Leverage digital and intelligent technologies to build a business management system covering all business areas of the department, creating a visualized management platform to enhance operational effectiveness and decision-making efficiency.

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Qualifications:

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• Bachelor’s degree in Finance, Economics, Law, Mathematics, Statistics, Financial Engineering or a related discipline.


• In-depth understanding of trading processes across global equities, fixed income, commodities and OTC derivatives.


• Minimum 3 years of relevant experience in business operations, risk management or compliance.


• Strong analytical thinking and advanced Excel skills; proficiency in scripting languages such as Python is a plus.


• Digitally minded, able to propose IT solutions to improve operational efficiency.


• Excellent spoken and written English and Chinese, with strong communication skills.


• Able to work well under pressure.


• Shift work during night hours and public holidays may be required.