Role at a glance
- Salary
- Not Disclosed
- Location
- Hong Kong
- Work arrangement
- On-site
- Employment
- Full-time
- Experience
- Have 7+ years of compliance experience at a financial institution, with meaningful time in a control room or capital markets compliance or equivalent restricted list function
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Role Summary
The Compliance Specialist will own and develop Jane Street’s control room function in Hong Kong, managing trading restrictions related to wall crossings, sanctions, and other regulatory concerns. The role advises teams on live restrictions and maintains the processes and controls that support them.
What You'll Do
- Run restriction processes end-to-end, including assessing affected names, applying and lifting restrictions, and maintaining records.
- Advise traders, Business Development, and other teams on the practical implications of restrictions.
- Maintain policies and procedures as the business, systems, and regulations change.
- Handle sanctions and government-driven trading restrictions and monitor relevant changes.
- Support surveillance, look-back reviews, and information barrier and clean room arrangements involving MNPI.
- Continue to build and evolve the control room function.
Generated from the employer's posting. Verify important details before applying.
View full postingQualifications
Requires 7+ years of financial-institution compliance experience, including meaningful control room, capital markets compliance, or equivalent restricted list experience; familiarity with wall crossings, information barriers, MNPI controls, APAC regulatory frameworks (especially Hong Kong and China), and sanctions regimes affecting global trading; sound judgment under time pressure; strong written and verbal communication; and fluency in English.
Original job description
Content provided by the employer
Original job description
Content provided by the employer
About the Position
We are looking for an experienced Compliance Specialist to own and grow our control room function in Hong Kong. This team decides when Jane Street should stop trading a name — for example, if we've been wall-crossed on a deal, or due to sanctions or other regulatory concerns.
Our trading business in Asia is growing quickly, and the volume and variety of restrictions we handle is growing with it. On any given day you might be walking a desk through what they can and can't do while a restriction is live, working with our Global Capital Markets team on a time-sensitive block or assessing whether a new sanctions regime touches instruments we hold.
Additional responsibilities of the role will include:
- Running day-to-day restriction processes end-to-end, including evaluating the scope of affected names, applying and lifting restrictions, and record keeping
- Advising traders, our Business Development team, and other teams on what a restriction means in practice
- Owning the policies and procedures behind these business lines and processes, and keeping them accurate as our business, systems and regulations change
- Handling sanctions and government-driven trading restrictions and monitoring for any changes that affect us
- Supporting surveillance, look-back reviews, and information barrier and clean room arrangements where MNPI is involved
- Continuing to build and evolve our control room function over time
About You
- Have 7+ years of compliance experience at a financial institution, with meaningful time in a control room or capital markets compliance or equivalent restricted list function
- Have a high degree of familiarity with wall crossings, information barriers and MNPI controls work in practice
- Comfortable making judgment or escalation calls under time pressure
- A strong written communicator who can produce policy and procedure documentation as needed
- A strong verbal communicator who is capable of liaising with traders to understand live and proposed flows and translate them into compliance requirements
- Familiar with APAC regulatory frameworks (Hong Kong and China especially) and with sanctions regimes affecting global trading
- Fluent in English
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About the company
Jane Street
Large Enterprise
Jane Street is a global trading firm that specializes in quantitative and algorithmic trading across various asset classes, including equities, options, and fixed income. Founded in 2000, the company leverages advanced technology and data analytics to drive its trading strategies while maintaining a strong commitment to risk management and collaboration. Known for its dynamic and intellectually stimulating work environment, Jane Street also places a high value on continuous learning and professional development, making it an attractive workplace for individuals interested in finance, mathematics, and computer science.