Associate / Analyst, Central Compliance

Job Responsibilities :

• Assist in planning, development and execution of compliance monitoring program, transaction reviews and/or trade surveillance

• Perform compliance monitoring and reviews to ensure compliance with applicable legal and regulatory requirements and group policies, and assist senior compliance officer in the drafting of conclusion report with appropriate recommendations on compliance issues and findings as identified

• Handle regulatory requests such as reporting, inquiries, investigations and inspections and ensure smooth, accurate and timely communication with regulators

• Handle staff declarations on personal account trading and outside engagement and carry out relevant monitoring according to the internal group policies

• Assist in preparing regular and ad-hoc compliance management reports

• Assist in developing and implementing compliance training program

• Disseminate latest regulatory requirements to relevant business and support units and follow-up with the respective units on implementation plan, if required

Job Requirements :

• Degree holder in Law, Finance, Accounting, Corporate Governance or related disciplines

• Strongly self-motivated, quick learner and able to work independently in highly dynamic environment

• Strong analytical and Chinese writing skills, in particular, formal Chinese report drafting

• Good interpersonal and communication skills

• Sound knowledge in rules and regulations administered by the SFC, HKEX and Insurance Authority (IA)

• Minimum of 3 years solid experience in compliance monitoring preferably in Chinese financial institutions or regulatory bodies (Note: Candidate with less than 3 years' experience could apply for Analyst position)

• Immediately available is highly preferred