Officer, Monitoring and Testing, Compliance

Key Areas of Responsibilities

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

Requirements

1. Bachelor's degree and above in relevant field
2. 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.
3. Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA).
4. Strong communication and interpersonal skills
5. Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin
6. Working relationships and experience with local regulators will be highly regarded