Senior Associate, Investment Compliance, Banking

Company : Hays

Job Type : Full Time

Hong Kong

Number of Applicants

000+

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Job Description - Senior Associate, Investment Compliance, Banking

Your new role

You will be responsible for investment and insurance related advice and review of compliance manuals.
Handle all licencing/registration matters (including HKMA, IA and SFC) and CPD fulfilment monitoring;
Provide day-to-day compliance support to business units across the Bank and handling compliance enquiries;
Assist in preparing compliance reports for the Compliance Committee;
Assist in compliance training logistics and prepare compliance training materials;
Assist in developing, reviewing, updating and implementing compliance plans, manuals, and internal policies and procedures to ensure compliance with local regulatory requirements and Head Office's policies and procedures;
Keep abreast with the new regulatory requirements and ensure the changes are implemented timely;
Perform other ad-hoc projects.

What you'll need to succeed

Bachelor degree in Business, Finance, Risk Management, Law or related disciplines;
Require 2-3+ years of compliance experience in banking or financial services. Experience in Private Banking, Wealth Management, or Capital Markets is an advantage.
Strong analytical and problem-solving skills;
Dail-minded, well-organized, and able to manage multiple tasks under tight timelines;
Good communication and interpersonal skills
Proficient in written and spoken Chinese and English (including Mandarin).

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now. ([email protected])

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.

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Senior Associate, Investment Compliance, Banking

Job Description - Senior Associate, Investment Compliance, Banking

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