Lawyer – Legal Compliance Online Trading recruitment
Our client, a global leader in online equities trading is renowned for providing electronic crossing networks, assisting institutional investors with the online infrastructure to execute for their Asian block trades. This results in minimising both transaction costs and market impact, giving traders the ability to place orders with complete anonymity, allowing zero information leakage into the market.
Due to expansion across the APAC region, they are looking to appoint an inhouse lawyer. Reporting into the COO, you will be responsible for:
- The provision of regulatory advice to all areas of business
- Monitoring of all business activities to measure Compliance with applicable regulations
- Creation and implementation of appropriate regulatory policies and procedures and the management of the company's Capitals relationship with all of its regulators
- Working with internal and external stakeholders on advisory matters relating to Equity Derivatives, Equity Linked Financing, Convertible Bonds, Listed Derivatives and Proprietary Trading Compliance Advisory with key members of the business (including senior management)
- Providing compliance feedback on New Product Sign-off projects
- Conduct monitoring and trade surveillance of listed equity and futures transactions
- Ensuring the company's registered entities comply with relevant in country regulations
- Review and preparation of regulatory reports in the region
- Compiling responses to regulatory queries/investigations
To succeed in this role, you will have more than 5 years working in the financial services industry, preferably in a legal role. You will also have Equities Compliance experience in Asia, and a solid understanding of both the regulatory frameworks and products traded. In addition, you will have good knowledge of regulations in Asian jurisdictions relating to Cash Equity and Equity Derivatives Sales and Trading. An excellent opportunity to develop your Compliance experience in a dynamic, fast paced environment.