Responsibilities:
- Provide regulatory compliance advice to business and support functions.
- Provide coverage and support across various compliance business as usual matters including name screening, enhanced customer due diligence, transaction monitoring, trade surveillance, personal account dealing reviews and marketing materials reviews.
- Assist with the annual compliance work plan, conduct compliance testing / assessment, and preparation of management information materials.
- Monitor new regulatory changes and update the policy / procedures to comply with the regulatory requirements.
- Assist with internal / external audits and regulatory inspections, and assist with any other ad-hoc duties, as assigned.
Requirements:
- Degree in any discipline, preferably in a business-related field.
- Diploma in Regulatory Compliance / Financial Crime Compliance / CAMS certification is preferred but not a must.
- 5-7 years of working experience, preferably from a compliance function in a retail brokerage firm or within the banking / financial services industry.
- Familiar with the SFA and the regulations thereunder.
- Self-starter who can work independently and effectively prioritize well in a fast-paced environment.
- Proficient in English and Mandarin to liaise and work with counterparts based in China.
