Overview
Class: Full-time AND Permanent
Legal Entity: StoneX Financial (HK) Limited
Report to: Head of Compliance, APAC
Company Overview:
Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Business Segment Overview:
Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.
Responsibilities
Position Purpose:
This role at StoneX will manage business, regulatory compliance, financial crime compliance and reputational risks in Hong Kong, advising businesses and senior management, managing audits and inquiries, conducting compliance monitoring and administrating training.
Primary duties include:
- Provide business and compliance advice to senior management and business units such as Exchange-Traded Derivatives and Fixed Income Securities
- Handle regulatory liaison, regulatory reporting, regulatory change management, complaints handling, compliance monitoring, compliance risk assessment, marketing, outsourcing, training, and management reporting
- Provide KYC Onboarding support to meet Hong Kong requirements (e.g. professional investor certification)
- Ensure effective measures are in place to identify, assess and mitigate compliance risks in Hong Kong. Update policies, procedures and controls to meet regulatory requirements in Hong Kong.
- Provide regulatory advice on business expansion (e.g. Outsourced Trading, Leveraged FX Trading, OTC Derivatives Products)
- Provide regulatory advice on China business (e.g. Precious Metals, Brokerage, Payments)
- Assist in audits, investigations and responding to queries from regulators and exchanges
- Collaborate with regional Compliance & AML team
Qualifications
To land this role you will need:
- Minimum 5 years of experience in financial services regulatory environment involving Types 1, 2 and 3 licenses and/or Securities, Futures Contracts, Leverage FX Trading and OTC Derivatives products
- Work experience in Hong Kong regulator (past or present) is strongly preferred
- Work experience in banks, brokerages or audit firms involving Securities, Futures Contracts, Leverage FX Trading and OTC Derivatives products
- Knowledge of Hong Kong regulations and best practices
Education / Certification Requirements:
- University Degree in accounting, business, finance, law or related fields
- Professional certification in compliance is advantageous
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