Officer, Monitoring and Testing, Compliance

Key Areas of Responsibilities

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• Conduct Compliance Monitoring and Surveillance reviews to assess firm’s ongoing compliance with Key Regulatory Requirements;
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• Participate to in-depth reviews of compliance risks and controls in accordance with the Compliance Testing plan;
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• Prepare Regulatory Reporting including large shareholding reporting, short position, takeover code, or the bank holding company act;
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• Participate to transaction approval process by reviewing transactions against a set of compliance criteria;
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• Review electronic communications alerts as part of the e-com surveillance program;
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• Assist in responding to regulatory queries;
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• Report information to management, update incident log and employee conduct breach log
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• Assist in ad-hoc tasks as needed within the team

Requirements

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• Bachelor's degree and above in relevant field
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• Minimum 3 years within a securities / investment banking firm or big four / consulting firm or regulatory body, in a compliance testing or internal audit capacity.
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• Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA).
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• Strong communication and interpersonal skills
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• Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin
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• Working relationships and experience with local regulators will be highly regarded
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