Equity Investment - Compliance & Risk Management

Huatai Financial Holdings (Hong Kong) Limited; Hong Kong; On-site; HKD 800,000 - 1,200,000; Full time

Job summary

Huatai Financial Holdings (Hong Kong) Limited is seeking a proactive Equity Investment professional focused on Compliance & Risk Management. You will shape policies, design risk frameworks, and oversee trading operations across global equities and derivatives, while enabling data-driven decision-making.

The role requires 3+ years in risk/compliance, strong Excel skills, Python knowledge, and fluent English and Chinese. Night shifts and holiday coverage may be required.

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.
• 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.

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

Analytical thinking

Advanced Excel

Python scripting

Digital mindset

English & Chinese

Under pressure

Night shift

Education

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

Tools

Python

Job description

Equity Investment - Compliance & Risk Management

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).

Job Description:

• 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.

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.
• 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.