Compliance and Risk Manager

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Volant Trading Asia Ltd
  • 30 Aug 18 2018-08-30

Overview Volant is a technology-driven trading firm made up of a close-knit group of quantitative traders and technologists. For over 10 years we have specialized in automated options, futures, and equities trading from our offices in New York, Chicago, and Hong Kong. We pride ourselves on our entrepreneurial culture, flat hierarchy, and cross team collaboration. This is full-time opportunity for a Compliance and Risk Manager who will oversee the day-to-day compliance and risk of Volant’s Hong Kong Office and report to the Global CCO and Global Risk Manager.

Compliance Responsibilities:

  • Work with internal stakeholders and agent in Japan to respond to regulatory inquiries
  • Review and research KRX/JPX/JFSA/SESC rules and apply them to real world situations
  • Conduct internal compliance reviews
  • Update the Firm’s policies and procedures
  • Communicate internally with traders and developers to foster a culture of compliance
  • Actively monitor regulatory developments and rule filings
  • Conduct daily surveillance reviews of alerts generated for market manipulation
  • Develop compliance training for office employees

Risk Responsibilities:

  • Proactively engage with traders to thoroughly understand market/credit risks
  • Monitor and enforce trading risk limits across trading strategies
  • Monitor margin and capital usage while strengthening communications/relationships with clearing partners

Qualifications

  • Fluent in English (reading/writing)
  • Securities compliance experience (minimum 2 years)
  • Risk monitoring experience (minimum 2 years)
  • Exceptional writing skills and attention to detail
  • Effective communicator

Preferred, but not required

  • Fluent in Korean or Japanese (reading/writing)
  • Experience with Korean or Japanese trading regulations
  • Experience with options
  • Market making experience
  • Law degree