Compliance Officer

1 Month ago • 3-7 Years

Job Summary

Job Description

The Compliance Officer role within the APAC Compliance team at IMC is responsible for managing regulatory risks associated with trading activities across multiple jurisdictions, primarily in the Asia-Pacific region. The position involves taking ownership of core compliance program elements, contributing to its design, implementation, and oversight, and scaling the compliance framework for increasingly complex products and regulations. Key responsibilities include developing and executing the regulatory compliance framework, interpreting legislation, leading assurance reviews, managing compliance processes such as trader registration, licensing, training, trade surveillance, AML/KYC, and information barriers, and contributing to policy development and regulator inquiries.

Must have:

3-7 years in financial markets regulatory compliance.
Degree in Law, Finance, Business, or related field.
Knowledge of APAC regulatory requirements.
Strong verbal and written communication skills.
Ability to work autonomously and manage projects.
Analytical and structured problem-solving approach.
Collaboration and influencing skills.

Good to have:

Experience at a trading firm, broker, exchange, or regulator.
Language skills relevant to the APAC region (e.g., Mandarin, Japanese, Korean).

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Job Details

Our APAC Compliance team works closely with our Trading and Technology teams in order to manage the regulatory risks of our trading activities across multiple jurisdictions, particularly in the Asia-Pacific region.

As a Compliance Officer at IMC, you will take ownership of core elements of our compliance program and play a key role in its ongoing design, implementation, and oversight. This role offers a unique opportunity to deepen your knowledge and capabilities while helping to scale our compliance framework across increasingly complex products, jurisdictions, and regulatory obligations.

Your Core Responsibilities:

Your responsibilities will include, but not be limited to:

Contributing to the development and execution of IMC’s regulatory compliance framework across APAC, ensuring obligations are met in a timely and effective manner.
Interpreting legislation and other regulatory instruments to provide guidance to core business and control teams, particularly on exchange rules, licensing requirements, trading controls, and the practical application of new or evolving regulations.
Leading or supporting compliance assurance reviews and following up on findings and recommendations.
Staying informed of relevant industry forums and regulatory working groups, and support IMC’s participation where appropriate.
Owning or contributing to key compliance processes, including trader registration and licensing, compliance training, trades surveillance, access management, AML/KYC reviews, and information barriers governance.
Contributing to the design, maintenance, and governance of compliance policies and procedures, including responding to regulatory developments and internal change.
Supporting senior compliance officers in managing regulator and exchange inquiries, notifications, and investigations.
Participating in the delivery and enhancement of the AML program, including periodic reviews and KYC processes.
Collaborating with compliance colleagues in Europe and the US to ensure alignment of global standards and consistent implementation across regions.

Your Skills and Experience:

3 to 7 years of experience in regulatory compliance within financial markets, preferably at a trading firm, broker, exchange, or regulator.
A degree in Law is preferred, given the importance of regulatory interpretation and drafting in the role. Candidates with strong regulatory compliance experience and a degree in Finance, Business, or a related discipline will also be considered.
A working knowledge of relevant regulatory requirements in one or more APAC jurisdictions, and an interest in deepening subject matter expertise.
Strong verbal communication skills, with the ability to explain complex regulatory concepts clearly.
Skilled in producing high-quality written materials, including regulatory correspondence, internal policies and procedures, training content, and compliance guidance.
Ability to take ownership of tasks, work autonomously, and manage projects or deliverables through to completion.
Highly analytical and structured approach to problem-solving; attention to detail is essential.
Demonstrated collaboration and influencing skills, including the ability to work effectively across teams and functions.
Language skills relevant to the APAC region (e.g. Mandarin, Japanese, Korean) are considered an asset.

About Us

IMC is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we’ve been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, Asia Pacific, and India, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.