Compliance Officer, Two Sigma Securities (EMEA)
Hong Kong, Hong Kong Island, China
Two Sigma Securities, LLC is a broker-dealer registered with the SEC, one of the major U.S. equity exchanges and a registered market maker in over 8,000 U.S. exchange listed equities. Backed by a high performance, proprietary platform, the firm facilitates the execution of more than 300 million shares per day. We are the market-making affiliate of Two Sigma Investments, LP and a member of FINRA and SIPC. For more information, please visit twosigmasecurities.com.
Two Sigma Securities (“TSS”) is expanding internationally and is looking for a Compliance Officer to develop and maintain a compliance program for an FCA registered firm, this includes being both the compliance officer and MLRO. The position will report to the TSS Group CCO in New York. The ideal candidate will be a self-starter who will take the initiative on multiple projects to build and maintain a best in class compliance program with the assistance of compliance colleagues in various regions.
You will take on the following responsibilities:
- Developing and implementing a compliance strategy and associated policies, procedures and processes in order to meet applicable regulatory requirements of the FCA and various EU countries as well as applicable exchanges
- Preparing and undertaking a risk-based compliance monitoring programme, and reporting any issues to senior management
- Actively supporting and advising the business and senior management on relevant regulatory developments and requirements
- Ensure relevant departments are kept aware of changes within their area of responsibility and that any necessary changes are made to conform to any required timescales
- Ensure the FCA training and competency standards are met and maintained for all staff members. Ensure that relevant training is current and tailored to the business
- Ensure relationship is maintained with the FCA and other regulators through completion and submission of all applicable returns
You should possess the following qualifications:
- 7-10 years of relevant experience, preferably with a small to midsize firm
- Proven track record of being able to work independently and proactively to manage a compliance program
- Excellent working knowledge and understanding of the General Data Protection Regulation (GDPR). Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP) or International Compliance Association Certificate) is desirable
- Excellent working knowledge of the UK financial services regulatory system, and in particular, with the Approved Persons / Senior Managers and Certification Regime; the FCA’s Principles for Businesses; the FCA’s Conduct of Business rules, the Market Abuse Regulation and MiFID II
- Strong understanding of the business and compliance risks associated with high frequency trading strategies and current knowledge of the key regulatory issues impacting high frequency and algorithmic trading in equities, options and futures products
We are proud to be an equal opportunity workplace. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity/expression, age, status as a protected veteran, status as an individual with a disability, or any other applicable legally protected characteristics.