Senior Equities Compliance & Oversight Lead

Optimum Solutions (Hong Kong) Limited; Hong Kong; Sur place; HKD 900 000 - 1 500 000; Plein temps

Résumé du poste

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).

Responsabilités

• 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.

Connaissances

Compliance background

Investment banking

Equities knowledge

English & Mandarin

Description du poste

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