Job Description
Responsibilities
- Provide day to day compliance support to capital markets business and operations
- Ensure proper implementation and compliance of internal control and regulatory requirements by business
- Monitor and update staff of regulatory changes (including HKMA and SFC) and exchange rules and analyse their impact on business lines and operations
- Review new business/activity proposals by business or operations
- Provide training support and promote staff compliance awareness
- Assist in periodic compliance reporting and implementation of compliance policies and control
- Assist in ad hoc duties as assigned
Requirements
- Degree holder with minimum 3 years’ relevant experience in Compliance function of investment banks preferred
- Good understanding of Hong Kong Banking laws and HKMA regulations as applied to capital market products
- Good working knowledge of Fixed Income and Equity products
- Strong analytical and problem solving skills;
- Ability to work independently adopting a hands-on approach
- Strong interpersonal skills with ability to communicate clearly at all levels
- Proficient in English and Chinese