Urgent! Compliance Officer, Public Markets - Wellington Management Career in Hong Kong
About the Role
Position Overview
The Compliance Officer will support Wellington Management’s global investment & trading compliance program, focusing primarily on compliance support to our APAC investment teams and our trading in equity, fixed income and derivatives markets within the region.
As our firm expands the asset classes, products and geographical footprint of its businesses, a key responsibility of the role will be supporting compliance procedures and controls related to material non-public information (MNPI) and potential conflicts.
The Compliance Officer will be a member of the Legal, Compliance and Risk Group, report directly to the Global Head of the Public Markets Compliance and work closely with other compliance, legal and risk professionals, as well as senior investment and trading personnel.
Responsibilities
The Compliance Officer’s primary responsibilities will include the following:
Providing real-time compliance advice and support to investment and trading personnel with respect to policies & procedures, controls, policy exceptions, regulatory rules, MNPI, supervision, electronic trading, best execution, position limits, etc.
Assessing conflicts and recommending mitigating controls within the investment, order implementation, and trading processes.
Driving the continued evolution of our firm’s policies, procedures and other controls relating to investment, order implementation, and trading processes in response to various growth initiatives.
Collaborating with APAC, EMEA and US compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes.
Developing and maintaining collaborative partnerships with our investors and traders, as well as their managers.
Providing regulatory risk management advice and support, including policies & procedures, controls, policy exceptions, regulatory rules, supervision, etc.
Work with relevant business and infrastructure teams to design robust supervisory processes and controls and negotiate risk proportionate and pragmatic solutions among key stakeholders.
Reviewing regulatory developments and evaluating their impact on our firm.
Advising forensic and compliance testing teams on areas of focus, testing design, special investigations and findings.
Recommending enhancements to supervisory processes, internal controls and internal testing.
Responding to regulatory inquiries and examinations of our global business.
Developing and conducting regulatory training, where appropriate.
Contributing to the strategic vision and direction of Global Public Markets Compliance.
Qualifications
7+ years of compliance or asset management experience (familiarity with the HK and/or SG regulatory requirements applicable to the activities of a central dealing desk is a plus).
Working knowledge of regulatory requirements applicable to accessing the mainland China capital markets as foreign investors; experience across multiple jurisdictions/regulatory regimes a plus.
Ability to read and speak Mandarin a plus.
Ability to apply analytical and decision-making skills in a collaborative and growth-oriented environment.
Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible and simple terms.
Strong interpersonal skills and ability to influence outcomes through collaboration.
Strong written and oral communication skills.
Creative mindset.
Proactive, adaptable and well-organized; ability to both work well independently and as part of a team.
Not sure you meet 100% of our qualifications?
That’s ok.
If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background.
We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.
As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law.
If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at .
We believe that in person interactions inspire and energize our community and are essential to our culture.
In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week.
We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.
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Unlock Your Compliance Officer Potential: Insight & Career Growth Guide
Real-time Compliance Officer Jobs Trends in Hong Kong, Hong Kong (Graphical Representation)
Explore profound insights with Expertini's real-time, in-depth analysis, showcased through the graph below. This graph displays the job market trends for Compliance Officer in Hong Kong, Hong Kong using a bar chart to represent the number of jobs available and a trend line to illustrate the trend over time. Specifically, the graph shows 916 jobs in Hong Kong and 678 jobs in Hong Kong. This comprehensive analysis highlights market share and opportunities for professionals in Compliance Officer roles. These dynamic trends provide a better understanding of the job market landscape in these regions.
Great news! Wellington Management is currently hiring and seeking a Compliance Officer, Public Markets to join their team. Feel free to download the job details.
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An organization's rules and standards set how people should be treated in the office and how different situations should be handled. The work culture at Wellington Management adheres to the cultural norms as outlined by Expertini.
The fundamental ethical values are:The average salary range for a Compliance Officer, Public Markets Jobs Hong Kong varies, but the pay scale is rated "Standard" in Hong Kong. Salary levels may vary depending on your industry, experience, and skills. It's essential to research and negotiate effectively. We advise reading the full job specification before proceeding with the application to understand the salary package.
Key qualifications for Compliance Officer, Public Markets typically include Business Operations Specialists and a list of qualifications and expertise as mentioned in the job specification. Be sure to check the specific job listing for detailed requirements and qualifications.
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Before the Interview:To prepare for your Compliance Officer, Public Markets interview at Wellington Management, research the company, understand the job requirements, and practice common interview questions.
Highlight your leadership skills, achievements, and strategic thinking abilities. Be prepared to discuss your experience with HR, including your approach to meeting targets as a team player. Additionally, review the Wellington Management's products or services and be prepared to discuss how you can contribute to their success.
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