Job Purpose:

  • To assist the Head of Compliance, Greater China in providing support and advice to the business on sound business practice and regulatory rules and principles on offers of investments and regular regulatory reports submission and other compliance matters.

Your Responsibilities:

  • Provide compliance advisory support in addressing latest local regulatory requirements and daily operational issues
  • Investigate complaints and operational errors and recommend risk-mitigating actions to prevent re-occurrence
  • Interact with regulators and handle regulatory enquiries, surveys and reports
  • Handle due diligence requests
  • Conduct routine monitoring and assist other monitoring teams to harmonize testing procedures to reinforce Global Standards
  • Participate in compliance initiatives and projects
  • Prepare summaries of regulatory consultation papers and conduct impact analysis on regulatory updates
  • Supervise regulatory licensing matters where necessary
  • Perform other compliance duties as assigned.

Skills and Qualifications:

  • Degree in Accounting/Finance/Law or related disciplines
  • A minimum of 5 years relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities
  • A good understanding of the applicable regulatory requirements surrounding offers of investments as well as the retail and institutional marketing activities in the financial services industry in the Greater China region
  • Good product specific knowledge, including unit trusts, mutual funds, MPF products, UCITS, alternative investments, ETF, derivatives, etc.
  • Strong prioritization and problem-solving skills
  • Strong oral and written communication skills in both English and Chinese
  • Communicate effectively and respectfully
  • Collaborates and builds trusting relationships
  • High integrity and excellent work ethics
  • Detail oriented
  • Ability to work independently
  • Ability to multi-task
  • Demonstrate flexibility, enthusiasm and a willingness to learn.

Source: for more information click here.

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