Officer, Central Compliance, Compliance

Position Description

This position will participate in Central duties in the areas of licensing, personal employee trading, SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and training.

Key Areas of Responsibilities

1. Handle various regulatory notifications, including incidental and suspicious violations, and ensure compliance with SFC notification requirements.
2. Handle SFC licensing matters, including licence applications, terminations, notifications, and submission of Annual Returns, in a timely manner.
3. Process staff outside account requests, review outside account statements, and clear alerts generated by the in-house staff dealing and compliance declaration systems.
4. Follow up with new joiners to ensure completion of required compliance declarations upon joining and annually thereafter.
5. Maintain internal records, including training records, policies and procedures, and licensing details.
6. Assist with compliance training logistics.
7. Work with IT on system development and enhancement projects.
8. Identify opportunities for process improvement and assist with implementation.
9. Assist in providing information in response to SFC regulatory enquiries, including Sections 181/182 requests, ad hoc investigations, surveys, and follow-up questions.
10. Handle requests from internal and external auditors.
11. Perform other tasks as assigned by the manager from time to time.

Requirements

1. Degree or above in tax accounting, Finance, or related discipline.
2. Minimum 1–2 years of relevant experience in a securities/investment banking firm, Big Four/consulting firm, or regulatory body, preferably in a compliance testing or internal audit capacity.
3. Experience working with local regulators will be highly regarded.
4. Strong communication and interpersonal skills.
5. Proficient in MS Office (Outlook, Word, Excel, and PowerPoint) with good IT literacy.
6. Excellent command of written and spoken English and Chinese, including Mandarin.
7. Candidates with 3–4 years of relevant experience may be considered for an Associate-level position.