Associate (Compliance and Risk Control), Equity Derivatives

Job Responsibilities

Day-to-day review and process approval. Support the ongoing review of OTC derivatives business, including trade-flow approval, product/proposal review, risk-data reporting, and periodic self-assessments.Risk monitoring, AML, and exception handling. Monitor live portfolios across key metrics such as notional, concentration, margin, and exposure. Carry out customer due diligence, source-of-funds checks, and suspicious-transaction management. Investigate and resolve limit breaches, trading halts, valuation issues, and other exceptions to keep the business compliant and sound.Policies, regulatory tracking, and training. Track onshore and offshore regulatory developments, work with Head Office risk, keep processes and policies current, and deliver internal communication and risk-awareness training.Limits and margin operations. Administer departmental limits and OTC derivatives margin requirements, applying the rules appropriate to each business model. For breaches or special arrangements, draft exception and risk-committee papers covering amount, tenor, restrictions, and exit conditions, and follow through to implementation.Daily reporting, reconciliations, and system controls. Produce daily reports for key products and reconcile them to official notional and concentration figures. Where pre-trade system checks are incomplete, run intra-day and end-of-day off-system reviews, raise system enhancements, and support user acceptance.Risk reviews and regulatory/audit support. Conduct periodic risk reviews and support internal/external audits, regulatory examinations, and group inspections, including preparation of files, limit-change records, and client-communication evidence.日常审查与流程审批: 参与场外衍生品日常审查, 包括交易流程审批、业务方案审查、风控数据报送、定期自查。风险监控、AML 与异常处置：对存续组合做有效监控：名本、集中度、只数、多空匹配、相关性、IA/Exposure、追保线与实缴保证金。开展客户身份识别、受益所有人、资金来源与可疑交易管理；对同票聚集、异常 POV、风格突变、超限、停牌、估值中断做排查处置，确保合规和稳健经营。制度、监管与培训：跟踪境内外监管，对接总部部门风控岗，修订流程制度，做内部宣导和风险防范培训。限额与履保营运：维护并执行部门限额表与场外衍生品业务履保要求；区分标准方案、交易型动态模型、多空方案等履保模式。超限或拟特殊需求时，起草特批/风控会材料，列明金额、期限、禁止开仓与退出条件，跟踪减持或提额落地。日报、对账与系统控制：完成重点产品（如多空中性基金、票据组合）日报与官方名本/集中度对账；校验 FX、IA 公式、Exposure 符号。在簿记系统事前核额不完善时，组织 T+0/T+1 系统外排查；提出并验收系统补丁。定期排查潜在风险与检查迎检：配合内审、外审、监管及集团检查，准备台账、限额变更记录、客户沟通与追保证据。Job Requirements:Master's degree or above. Candidates with finance, accounting, legal or interdisciplinary backgrounds are preferred.With at least 2 to 5 years or above relevant work experience in compliance and risk control in sizable securities firms or financial institutions.Familiarity with rules governing OTC derivatives or securities lending business is preferred.Proactive, rigorous and detail-oriented, with a strong sense of responsibility, quick learning ability, good teamwork spirit.High work efficiency, strong resilience under pressure.Strong communication skills in Mandarin and English, both written and verbal.2-5年工作经验，硕士研究生及以上学历，有金融、财务、法律或复合相关背景优先。熟悉场外衍生品业务或融券业务的相关规则优先。工作积极主动、严谨细致，有责任心，学习能力强，具有良好的团队协作精神以及沟通表达能力。工作效率高，抗压能力强，具备一定的文字功底和语言力。