The Role
ASSO, Surveillance and Trading Compliance Team, Legal and Compliance
Key Accountabilities
The candidate is responsible to perform advisory and monitoring tasks within the Surveillance and Trading Compliance function, as 2nd line of defence.
- Responsible for issuing relevant regulatory updates to business departments and tracking interpretations.
- Responsible for regular review of trade surveillance and other regulatory compliance programs to identify possible compliance issues, report suspicious trading activities to regulators, and continuously monitor customer trading activities.
- Responsible for answering daily inquiries or questions raised by various business departments, and explaining to each department the requirements for SFC Code of Conduct, suitability obligations and prevention of market misconduct.
- Responsible for providing compliance guidance and related training, and making suggestions on the scope of improvement to mitigate compliance risks.
- Responsible for providing advice to business and middle and backend departments on relevant compliance matters, such as reviewing new products/services and marketing materials to promote business implementation.
- Responsible for disclosure of interests and reporting to the head office and regulators.
- Responsible for liaising with regulators, auditors, business and functional departments on compliance issues/matters, and organizing the preparation of reports and providing management with suggestions on systems, processes, control measures, etc.
- Responsible for handling inspections, investigations and inquiries from regulators.
- Perform administrative work and ad hoc tasks as assigned to support the department.
Skills & Experience
- Degree holder of Law/Accounting/Finance or other related disciplines;
- Minimum 3-4 years experiences of securities industry in Compliance. Candidate with less experience may offer for low rank;
- Strong knowledge of Hong Kong regulatory regime and standards is preferred.
- Strong team player who is highly motivated, independent and able to work under pressure and tight timelines;
- Proficient in Cantonese, Mandarin and English. Native Mandarin speaker is preferred.
Other Information
Notes to applicants:
- Please apply in strict confidence with full resume, academic record, current and expected salaries.
- The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
- Candidates with Enhanced Competency Framework (ECF): please state on the CV.
About BOCI
As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCIâ€), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.
