Job Summary & Responsibilities
YOUR IMPACT
Are you interested in gaining regulatory and compliance knowledge across Asia Pacific Ex Japan ("APEJ"), implementing regulatory projects within the firm (in particular Hong Kong), building relationship with regulators, and working closely and partnering with people across different divisions and countries on regulatory matters within ECC? We are looking for a Compliance officer to join our Compliance team who wants to use their skills to drive regulatory initiatives in APEJ.
HOW YOU WILL FULFILL YOUR POTENTIAL
This Analyst / Associate level position is an integral member of the Regulatory Affairs team. This position focuses on (i) general regulatory affairs and (ii) HKMA-related matters. A core function of this role is to closely work with Compliance colleagues and Business & Federation teams across APEJ, on regulatory, compliance and other matters.
Regulatory affairs function:
• Co-ordinate with cross-divisional colleagues to drive regulatory initiatives and efforts in APEJ
• Track regulatory interactions, regulatory updates and regulatory focuses in APEJ
• Assist in the implementation of projects resulting from regulatory requirements in Hong Kong
• Closely co-ordinate with compliance officers across different divisions and regions on regulatory and other issues
Compliance responsibility for HKMA matters
• Coordinate responses to HKMA inquiries, liaise with HKMA on compliance issues, and maintain firmwide correspondences with HKMA
• Review, assess and disseminate HKMA circulars, consultations and other regulatory updates
• Provide compliance-related guidance and training to staff
• Closely coordinate with Business and Federation units on compliance matters
SKILLS & EXPERIENCE WE'RE LOOKING FOR
BASIC QUALIFICATIONS
• Excellent team work and interpersonal skills
• Excellent organizational skills
• Attention to detail and thoroughness of execution
• Ability to identify and balance commercial considerations with regulatory and legal risk
• Ability to demonstrate initiative and commitment combined with values reflecting personal integrity and ethics
• Strong analytical and judgment skills
• Excellent communication skills, written and verbal, in English and in Chinese
• Minimum 2 to 3 years' experience in compliance, legal, regulatory, audit or operational support areas of investment banks or securities firm
PREFERRED QUALIFICATIONS
• Consulting, accounting firms and regulatory background will be considered.
