Associate / Analyst, Central Compliance

Job Responsibilities

Assist in planning, development and execution of compliance monitoring program, transaction reviews and/or trade surveillancePerform 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 identifiedHandle regulatory requests such as reporting, inquiries, investigations and inspections and ensure smooth, accurate and timely communication with regulatorsHandle staff declarations on personal account trading and outside engagement and carry out relevant monitoring according to the internal group policiesAssist in preparing regular and ad-hoc compliance management reportsAssist in developing and implementing compliance training programDisseminate 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 disciplinesStrongly self-motivated, quick learner and able to work independently in highly dynamic environmentStrong analytical and Chinese writing skills, in particular, formal Chinese report draftingGood interpersonal and communication skillsSound 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