Compliance Analyst (AI)

Location: Hong Kong

Company

Proprietary trading firm deploying its own capital across discretionary, systematic, and market-making strategies in global listed derivatives.

What you will do

• Review and update compliance policies, procedures, training materials, and employee guidance.
• Coordinate internal compliance reports, periodic disclosures, and mandatory training and attestations.
• Manage wall-crossing processes, restricted lists, watch lists, and information barriers with trading business units.
• Support operational compliance activities, including personal account dealing, issue escalation, documentation, and reporting.
• Prepare and validate regulatory filings across UK, EU, US, and other relevant regimes, and respond to regulatory and counterparty enquiries.
• Advise trading desks on short selling, market abuse, and other trading-related compliance matters.

Requirements

• 2–3 years of experience in a relevant legal or compliance role.
• Experience in a Control Room environment, with strong knowledge of restricted lists and Equity Capital Markets strategies.
• Hands-on experience managing wall-crossing from initiation through cleansing of information.
• Ability to interact directly with trading desks and provide clear guidance in a fast-paced environment.
• Strong attention to detail, organisation, communication, collaboration, and independent working skills.
• Practical knowledge of AI technologies and their compliant application to regulatory research, advice, automation, and efficiency improvements.

Nice to have

• Excel, SQL, or Python skills.
• Business proficiency in Cantonese and written Chinese.
• Experience using AI for information gathering, advice, task automation, and operational efficiency.

Culture & Benefits

• Comprehensive training on compliance procedures is provided.
• Technology is central to the firm’s trading and compliance operations.
• Fast-paced, forward-thinking environment with AI integrated into strategy and daily operations.
• Global, fast-growing firm offering opportunities to make a significant impact.
• Friendly, informal, and rewarding working culture.