Officer, Monitoring and Testing, Compliance
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What you'll do
- Conduct Compliance Monitoring and Surveillance reviews to assess firm’s ongoing compliance with Key Regulatory Requirements;
- Participate to in-depth reviews of compliance risks and controls in accordance with the Compliance Testing plan;
- Prepare Regulatory Reporting including large shareholding reporting, short position, takeover code, or the bank holding company act;
- Participate to transaction approval process by reviewing transactions against a set of compliance criteria;
- Review electronic communications alerts as part of the e-com surveillance program;
- Assist in responding to regulatory queries;
- Report information to management, update incident log and employee conduct breach log
- Assist in ad-hoc tasks as needed within the team
What they're looking for
- Bachelor's degree and above in relevant field
- 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.
- Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA).
- Strong communication and interpersonal skills
- Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin
Nice to have
- Working relationships and experience with local regulators will be highly regarded
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
Key Areas of Responsibilities
Conduct Compliance Monitoring and Surveillance reviews to assess firm’s ongoing compliance with Key Regulatory Requirements;
Participate to in-depth reviews of compliance risks and controls in accordance with the Compliance Testing plan;
Prepare Regulatory Reporting including large shareholding reporting, short position, takeover code, or the bank holding company act;
Participate to transaction approval process by reviewing transactions against a set of compliance criteria;
Review electronic communications alerts as part of the e-com surveillance program;
Assist in responding to regulatory queries;
Report information to management, update incident log and employee conduct breach log
Assist in ad-hoc tasks as needed within the team
Requirements
Bachelor's degree and above in relevant field
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.
Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA).
Strong communication and interpersonal skills
Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin
Working relationships and experience with local regulators will be highly regarded
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Company
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