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Arion House

International Interdealer Broker & Market Infrastructure Provider - Compliance Control Officer

Arion House Hong Kong
Posted 4 days ago Permanent Competitive
Posted by
Adam Butterfield
Recruitment Director, Hong Kong
World leading interdealer broker and provider of market infrastructure services is looking to hire a Compliance Control Officer to join an excellent team and business. It's a great opportunity to gain exposure to global markets and a diverse range of securities products, as well as broad experience across the compliance function. The firm has a great culture and flat hierarchical structure, so your role can evolve overtime to take on new challenges and responsibilities.


Group Overview:

The Group is a world leading provider of market infrastructure.

Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.

Through our people and technology, we connect clients to superior liquidity and data solutions.

The Group is home to a stable of premium brands. Collectively, the firm is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.

The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.

Role Responsibilities:

This role sits within the APAC Compliance Control function responsible for carrying out surveillance, desk reviews and registrations. Additionally, the Compliance Control Officer will undertake daily and other periodic Control work, proactively investigating as necessary, and escalate any matters as required. You will work closely with the Business, and develop thorough business knowledge to be able to monitor the global transactions undertaken more effectively. You will also work closely with the Compliance Officers to ensure the swift resolution of any outstanding issues in facilitating and protecting the Business.

• Performing real time and post trade Control via trade / order surveillance system
• Performing surveillance of electronic communications and escalating to Senior Control Officers where appropriate
• Working as a member of a team undertaking desk reviews, recording of findings and discussing such findings with the APAC Head Compliance and, when required, taking remedial or other follow-up action
• Performing real and post trade Control of compliance with relevant Exchange rules
• Executing ad hoc work, investigations and project issues as required
• Remaining informed of changes to the regulatory environment and in conjunction with the Control Team make any necessary enhancements given regulatory changes
• Fulfil additional / ad hoc duties as required to meet the needs of the business
• Covering senior members of staff who are more actively involved in the integration project of the firm
• Provide input to the compliance committee as directed by the compliance officer
• Perform registration services for individual and corporate licence registration as required
• File recurring annual reports as required
• Coordinate with Belfast L1 surveillance team and targeted surveillance team as required


• Understanding of the industry is preferable
• Previous practical experience gained working in a Control function within a Financial Services firm (essential)
• Experience of working in a broking/trading capacity (desirable)
• Delivering Business Success – Desiring Quality - pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards
• Working With People – Networking - Works towards building a strong internal and external network by identifying opportunities to meet, and develop or maintain rapport with clients and colleagues both within work related and in informal or social circumstances
• Providing Direction – Thinking Strategically – Understands own business’ targets and goals and fully understands the competitive context in which it operates and looks for ways to add value to the organisation. Periodically steps back from immediate operational concerns to check progress against broader goals and their fit with the organisation’s strategic objectives
• Leading – Creating Synergies - demonstrates a positive attitude towards working with others and a willingness to move out of their ‘comfort zone’ to gain a clear vision of overall business goals so as an individual they can understand how their tasks contribute to the overall business strategy
• Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.)

Company Statement:

The Group is committed to promoting Equality and Diversity and encouraging a culture that actively values difference. It is recognised that employees from different backgrounds and experiences can bring valuable insights to the work environment and enhance the way we work. The Group aims to create a positive, cohesive and inclusive culture, where diversity is valued, respected and built upon. The objective is to recruit and retain a diverse workforce that reflects the global markets in which we work.

The Group is also committed to ensuring that the backgrounds, beliefs and cultures of all its Employees are respected and to ensuring that the working environment is free from discrimination, harassment, bullying or any other conduct which causes an Employee’s suffering. The Group also is committed to encouraging diversity amongst its current workforce and candidates.

Hong Kong
Compliance / Legal
Arion House is the leading provider of recruitment services and jobs for regulatory compliance, financial crime compliance, legal and risk professiona...
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