Employee Compliance Specialist

About the Position

We are looking for an Employee Compliance Specialist to act as a point of contact in administering various employee compliance requirements in our Hong Kong office. You should be able to answer questions and explain processes clearly to a wide range of colleagues across the firm and external parties, and work well with others to implement and improve our compliance processes.

Additional responsibilities of this role will include:

• Administering the SFC licensing process and trader registration processes with various third parties
• Administering the Personal Account Dealing Policy, answering queries and appropriately handling breaches
• Coordinating and monitoring our Continuous Professional Training (CPT) programme, including working with stakeholders to create learning content
• Identifying employee compliance-related policies and processes in need of improvement and designing and implementing those improvements
• Working with third-party vendors to maintain and improve various tools
• Managing the full SFC Manager-in-Charge (MIC) registration and exchange registration processes for certified persons
• Creating management information to be shared with MICs and other stakeholders

This role sits within our Legal and Compliance team, a dedicated group of professionals who share a deep understanding of the law, a meticulous commitment to regulatory protocol and a passion for protecting our colleagues as they focus on their daily work.
About You

• Have an undergraduate degree and at least 5+ years of relevant professional experience in employee compliance (in particular, SFC licensing and CPT requirements)
• A proactive, courteous and flexible team player
• Organised with strong communication and people skills
• Mature, professional and trustworthy; show excellent judgement with sensitive information
• Motivated self-starter who can handle competing priorities and work effectively in a challenging, fast-paced environment
• Have excellent attention to detail
• Fluent in English and spoken/written Chinese (Cantonese and/or Mandarin)

If you're a recruiting agency and want to partner with us, please reach out to [email protected].