Position Description
The Compliance Officer will be part of the Compliance Monitoring / Testing team, reporting to the Head of Compliance Monitoring and Testing. As part of his role, the candidate will be primarily responsible for overseeing the completion of Compliance monitoring and surveillance processes. The candidate will also participate to compliance testing reviews, and regulatory reporting work.
Key Areas ofResponsibilities
- Conduct Compliance Monitoring and Surveillance reviews to assess firms 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
Requirements
- 2-3+ years within a securities / investment banking firm or big four / consulting firm or regulatory body, or 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
- Fluent English, Mandarin and Cantonese required
- Working relationships and experience with local regulators will be highly regarded