Careers

Careers

Join us and discover a rewarding and challenging career with us. We are seeking dynamic and highly motivated individuals who are interested to develop a career in the Securities and Derivatives Industry.

Responsibilities

    Compliance matters

    • Develop trade surveillance policies and procedures for monitoring trading activities for any trading misconduct and money laundering suspicious transactions
    • Carry out daily review of trade surveillance exception reports, follow-up on exceptions noted and determine and recommend remedial or preventive actions
    • Review trade error reports and follow up on any irregularities noted
    • Escalate any breaches of regulatory requirements or misconduct or company policies
    • Conduct periodic review of company trade surveillance policies and procedures with the view to implement enhancements, if any to existing practices
    • Conduct investigation into any complaints or feedback received on any potential trading irregularities and any breaches of regulatory requirements noted during reviews or reports received on breaches
    • Develop compliance review programmes, Compliance workplans, self-assessment questionnaire and any other compliance programmes as may be required by Head of Department, front and back office, parent company, regulators and authorities
    • Liaise with relevant regulators, Head Office on any major findings and other compliance reporting requirements
    • Attend and participate in local management, regional and Board meetings
    • Review and process registration of trading representatives
    • Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures
    • Assist Compliance Team to work on compliance tasks as may be required by Head of Department
    • Assist Head of Department / Compliance Team to carry out any compliance tasks or projects as and when necessary as directed by the Head of Department
    • Assist Head of Department and/or Compliance team in carrying out the advisory functions of the Department
    • Any other ad-hoc responsibilities as assigned

    Legal matters

    • To review / assist to review legal agreements and business contracts with financial institutions
    • To act as a legal coordinator on legal matters with external legal counsels including those from parent company in Taiwan
    • To provide legal advice and views on ad hoc legal matters.

Requirements

    • Degree holder in related field with at least 7 years of relevant work experience in corporate law and Securities, Derivatives & Futures markets
    • High degree of professional ethics and integrity
    • Strong communication, interpersonal and organizational skills
    • Strong analytical and writing skills
    • Ability to work independently and interact with people at all levels
    • A strong team player who is confident, motivated, possesses initiative and the ability to prioritize, multi-task and work under pressure

Responsibilities

    • Provide first line support by responding to clients' calls and emails inquiries including questions about trading platforms' functionalities, platforms setup, connectivity and troubleshooting
    • Ensure users' queries and problems are followed up and resolved promptly and effectively through a systematic tracking/follow up process
    • Conduct trading platforms update and liaise with vendors on technical and infrastructure issues
    • Ensure IT deliverables have proper quality control through unit/integration test, UAT and proper handing over to production
    • Work closely with eFX and Sales Department to collate and communicate their requirements into visible project plans
    • Run the project on a day-to-day basis within specified quality, time and cost constraints

Requirements

    • Minimum a Diploma or Degree in IT, Business Administration, Finance or related fields with at least 1 year of relevant experience
    • Possess CMFAS M1A, M2A, M5, M6 and M6A or equivalent license will be an advantage
    • Financial products knowledge
    • Experience with MT4 is preferred
    • Good command of both written and spoken English and Mandarin in order to liaise with Chinese speaking associates
    • Excellent communication skills and relationship building skills
    • Client centric with a passion to go the extra mile for clients
    • Self-motivated and highly independent individual who is able to multi-task and results-oriented
    • A committed, and confident team player with the ability to respond positively to request for assistance
    • Competency in Microsoft Excel, PowerPoint and Word

 

We offer attractive salary package and long-term career development to the successful candidates. You are invited to email your cover letter and full resume to [email protected]

We thank you for your interest and please note that only shortlisted candidates will be notified.


Begin your trading journey now