Overview

The CCO of HDR Global Trading (โ€œHDRโ€) is responsible for overseeing the compliance function globally and in developing and implementing a robust compliance program for each of the jurisdiction HDR operates in. Working alongside with Legal and other key stakeholders, the CCO is expected to interface with regulators where appropriate, advice and assess what regulatory risks the firm needs to consider. Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in order to assist the firm in avoiding regulatory and reputational risk.

At HDR, the philosophy of Compliance is that it is essential, and it is what we need in order to create new products and markets that serve an ever widening swath of the global population. For it to be done right, it is a function that is comprised of best in-class professionals that work alongside engineers to build scalable solutions to meet our regulatory requirements. The compliance function plays an important role working with key stakeholders in ensuring software are being designed intelligently, and where issues are being escalated, compliance will exercise judgement to make the right decision to protect the firm.

This is a global role reporting to the COO and have an independent escalation channel to the Board. The ideal candidate would be someone who understands and has developed robust surveillance and compliance programs, familiar with how a trading platform with complex products operates, a good understanding of futures and derivatives would be a plus. The CCO should also have the ability to navigate regulatory landscape in new markets that are not completely developed and in ensuring a fast developing business has the necessary set of controls in place, especially in the area of AML to meet different regulatory requirements and expectations. The appropriate candidate will also assume the role of Money Laundering Reporting Officer and/or Sanction Officer

Core aspects include:

  • Building a high calibre compliance team to develop and implement aย  robust compliance program to cover all aspects of the trading platform and different business initiatives globally
  • Working with key stakeholders to identify system solutions where workflow can be automated
  • Advisory and compliance oversight, training, surveillance, policy & procedures and regulatory interface. Compliance coverage for business development, advice on new products and business initiatives;
  • Take guidance from Legal/external counsel to ensure changes in laws and regulations are being considered, assist to implement the appropriate process to ensure compliance
  • Be the interface for regulatory inquiries and internal investigation/audits as required
  • Conduct regular compliance training for ADCO members and other teams as required

SKILLS & EXPERIENCE WE’RE LOOKING FOR

  • At least 12-15 years of experience in compliance, legal, audit or other control function experience covering trading businesses, with experience in derivatives and structured products;
  • Has experience in managing and operates under a lean infrastructure
  • Strong analytical skills and ability to exercise judgment and manager execution under pressure; โ€ข Inquisitive and proactive in identifying risks and proposing solutions;
  • Good interpersonal skills and excellent written communications skills;
  • Ability to work with a variety of senior and junior people, and build smooth working relationships;
  • Highest attention to detail;
  • Good team player – one who is able to prioritize in a fast moving, constantly changing environment;
  • Entrepreneurial inclination – ability to work alone and act as a project manager
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment;
  • ยงย  Ability to handle multiple tasks simultaneously and work under tight deadlines