Compliance Officer

Applicants must have relevant experience and the highest ethical standards, excellent judgment, a sense of personal initiative, excellent oral and written communications skills, the ability to work independently while keeping management apprised of undertakings, be comfortable with new and emerging technologies, and can interact well and constructively with colleagues at all levels of the organization.

The successful candidate will provide compliance and regulatory advisory guidance, assist in the review, development and implementation and surveillance of the firm’s regulatory and compliance program for the following institutional brokerage business areas:   

o High Touch and Electronic Trading (Algos and DMA)

o Institutional Research Sales

o Equity Research

The successful candidate will report to the Head of Compliance based in Hong Kong, providing compliance advisory to the trading desk, institutional research sales, research, operations and technology groups within the Bernstein organization. 

Some key responsibilities include:

• Advise the front-office, management and support staff on market regulations and compliance.
• Advise onboarding team and the business on AML/KYC matters including providing approvals for new client setups.
• Collaborate with other compliance and business groups, both locally and globally, to provide compliance advisory services and the discharge of compliance functions.
• Advise the business and support functions on core compliance matters such as PAD / gifts-and-entertainment / licensing and registrations / conflicts management etc.
• Provide day-to-day surveillance reviews which are integral to timely and efficient compliance management.
• Advise on alert findings raised by trade surveillance / communication surveillance teams.
• Perform quality control testing related to the policies the firm has adopted and ensure that problems are appropriately addressed and resolved.
• Undertake periodic analysis and review/update of compliance policies and procedures, including forensic testing of these policies and procedures.
• Involvement in special projects, training activities and other duties as assigned.
• Handle trade issues and inquiries from local regulators / exchange
• Assist with and ensure required regulatory notifications and report submissions are completed timely.
• Periodically test front-end systems for compliance with regulatory requirements.
• Participate in post-JV projects / implementations. 

Candidate Experience and Qualifications

The successful candidate should possess the following qualifications and experience to be considered at Vice President level

• Hold a relevant bachelor's degree.
• Must have relevant compliance and regulatory experience in the financial industry.  
• Extensive knowledge and understanding of HK and China markets and financial services rules and regulations e.g SFC, Exchange rules, Anti-money laundering regulations, CSRC etc. (knowledge of other APAC markets a plus).
• Strong problem solving, analytical ability along with oral and written communication skills.
• The ability to solve complex issues on tight timeframes with internal clients and regulators, while maintaining a professional demeanor.
• Ability to demonstrate proficiency in software products, such as Excel, Word, Power Point, SharePoint, etc. (knowledge of order management systems a plus)
• Ability to understand trading technology software and programs and to serve as the intermediary, with a detailed understanding of trading rules and regulations and, at the same time, a sophisticated grasp of trading technology systems and platforms.
• Strong people skills to build trust and confidence quickly in compliance duties.
• Proficiency in English language skills is essential and Chinese language skills (fluency in Putonghua /Cantonese) is a plus.

Company Description

Bernstein is a leading cash equities and equity research business launched in April 2024 as a joint venture between Société Générale and Alliance Bernstein. With over 750 employees serving professional clients globally, we operate in 16 countries with major hubs in New York, London, Paris, Hong Kong and Mumbai as well as regional offices in Europe, North America, Singapore, and Japan.
Built on a history of industry leading research, Bernstein provides institutional investors, corporates and financial institutions with premier investment insights into over 1000 stocks covering North American, European and Asia Pacific equity markets, in addition to unparalleled equity liquidity access and global trading technology. Clients have access to a full range of seamlessly integrated equity services, leveraging Bernstein-Autonomous’ cash equities and research capabilities and Société Générale’s equity derivatives, prime services and equity capital markets offering.

If you feel you have the required experience and qualifications, then please apply, and we will manage your application. At Bernstein, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, color, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender identity.

For more details, visit www.bernsteinresearch.com/brweb/public/login.aspx.

Department Description

Providing compliance advisory to the trading desk, institutional research sales, research, operations and technology groups within the Bernstein organization.