This is an exciting opportunity to join a leading fintech firm headquartered in New York and have offices all over the globe. This position reports directly to the APAC Head of Legal and Compliance and is primarily responsible for legal & compliance matters relating to the firm's Asia Pacific business.
- Responsibility for regulatory and compliance matters primarily in Hong Kong and Australia includes ensuring compliance with applicable ALP rules and requirements of Hong Kong SFC and Australian Securities and Investments Commission, Hong Kong Stock Exchange and Australian Stock Exchange, and other applicable regulatory and compliance requirements in the jurisdictions where the firm conducts business.
- Primary responsibility for Asia Pacific compliance, which encompasses providing regulatory guidance for existing and new business (particularly in relation to operating ATS of equity securities), developing, maintaining and enhancing compliance controls, monitoring and supervisory framework including policies and plans, contributing to the APAC Governance Committee, identifying compliance and regulatory areas of vulnerability, and supporting evaluation and resolution for management and the Board of Directors; regulatory foresight and planning; review of ALP related marketing and communications; and responsible for the market monitoring and surveillance function, including alert management.
- Legal responsibilities include negotiating vendor agreements (primarily technology-related agreements), customer agreements, partner agreements and non-disclosure agreements; and corporate and stockholder matters including Company Secretarial responsibilities.
- This position works closely with all departments and its affiliates, in particular the following groups: APAC management, Sales and Trading, Product, Operations, Product Support (technology) and Enterprise Technology Services. This position also works closely with the Legal and Compliance departments in other regions, including US.
- Legally qualified in Commonwealth jurisdiction (2+ year PQE)
- Experience in the areas of brokerage and equity
- Knowledge of the securities industry and equity trading
- Experience with regulatory and compliance matters in Asia Pacific region
- Experience with risk assessment frameworks, including identifying risk and designing and implementing mitigations and controls
- Regulatory experience at one or more of the following: APAC regulator; broker-dealer; law firm; other financial firms
- Experience establishing compliance processes and drafting compliance policies and procedures
- Solid understanding of trading technology
- Commercial mindset and ability to learn new business
- Strong work ethic and hands-on approach
- Strong analytical skills
- Ability to become expert on new regulations within ever changing landscape
- Core requirements below