Compliance Associate

Company Description

Huatai Securities (“HTSC”) is one of the largest integrated securities groups in China. The company’s shares are traded on the stock exchanges in Shanghai, Hong Kong, and London. HTSC’s current market capitalization is approximately $23 billion.

Huatai Securities (USA) Inc., a wholly owned subsidiary of HTSC, is an NFA Member and FINRA Member US Broker-Dealer. Based in midtown New York, Huatai Securities (USA) Inc. is a boutique China-focused broker-dealer providing institutional clients with cross-border investment banking and institutional securities services in Equities and Fixed Income, and Futures as introducing broker. For more information, please visit us at />

Role Summary

The Compliance Associate will assist with managing a robust Compliance program and will report to the Chief Compliance Officer. The successful candidate will support and administer multiple compliance reviews and regulatory tasks of the equity and fixed income sales, trading and capital markets business as well as general compliance processes related to registration, continuing education, personal trading, communications, and conflicts of interest. The ideal candidate should have proficient working knowledge and experience with SEC and FINRA rules related to Equities and Fixed Income trading, capital markets, clearing and settlement plus NFA rules related to swaps and futures.

The candidate will provide compliance input on the development of order management systems and surveillance tools, regulatory reporting, tactical and strategic plans for compliance to support business initiatives. The candidate provides comprehensive solutions to complex problems or needs where end results are evaluated for achieving goals and objectives. The candidate will help drive the evolution of the Firm’s overall Compliance program.

Key Job Responsibilities

• Plan and conduct trade surveillance and compliance reviews to determine whether activities are

performed in accordance with applicable securities laws and regulations

• Assess the design and effectiveness of controls for each review to assess and enhance compliance with

applicable laws regulations internal policies and procedures

• Work with institutional trade execution platforms, capital markets and operations teams to ensure

adherence to set compliance objectives and educate teams on industry best practices

• Review and advise on marketing material and research disclosures, as well as external client

communications

• Assist in developing Firm policies and procedural manuals, and preparing reports for regulatory bodies

and senior management both in the US and China

• Provide support in regulatory filings and future regulatory exams or inquiries

• Partner with new employees to assist with onboarding and conduct compliance training

• Perform conflict reviews for all investment opportunities reviewed by the Firm and maintain the Firm’s

Restricted List.

Required Qualifications and Skills

To be successful in the role, the candidate has the following skills and qualifications:

• Minimum requirement of a Bachelor’s Degree

• Mandarin Chinese Language Fluency

• 3-5 years of progressively responsible experience as a compliance professional for a securities-regulated

entity or business; diversity of coverage experience preferred

• Demonstrates broad knowledge, critical thinking and sound judgment

• Solid understanding of SEC, FINRA, CFTC, NFA regulations and proficient working knowledge of equity/

fixed income trading, futures, operations/clearing and capital markets, new issues and private placements

• Diligent, detailed and results-oriented with strong motivation for high standards and following through

on tasks to completion/resolution

• Independently perform surveillance reviews, identify and resolve exceptions in a timely manner, gather

and analyze information and develop solutions for long-term impact

• Strong written and verbal communications skills

• Experience navigating multi-faceted organizations and recognizing/escalating divergent priorities

• Highly proactive, independent and demonstrates professional leadership abilities

Preferred Qualifications

• Series 7 or obtain within 6 months of Hire