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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