Compliance AVP, Hong Kong

Responsibilities:

• Prepare regulatory reporting, e.g. Short Position Reporting, Disclosure of Interest, etc.


• Coordinate regulatory enquiries, reporting, inspection or investigation, e.g. SFC S181, S329, etc. 


• Carry out the compliance testing, e.g. monitor stock trading activities ensuring relevant regulatory requirements


• Manage HK regulatory licensing related matters e.g. staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing records


• Coordinate new hire and ongoing trainings and maintain employee Continuous professional training records


• Manage other core compliance functions including new staff dealing account approval; assigning trainings to employees; personal account trading review and etc.


• Prepare regular risk and management information report to senior management


• Assist in coordinating action items in relation to new regulatory initiatives and requirements


• Assist in conducting investigation into any violations of the rules, regulations and firm's policy and procedures


• Assist in special assignment, project coordination and implementation of new policies as assigned

Requirements:

• 6-10 years’ experience in compliance or internal control in the securities industry ideally gained from a major US or European investment bank or comparable experience in consultancy, audit for financial services.


• Good knowledge of financial markets and be ready to learn


• Good analytical and communication skills


• Ability to work in a small team and carry out administrative tasks diligently


• Proficiency in MS Office including PowerPoint and Excel


• Self-motivated and innovative