As an influential member of the team, you will carry out the Regulatory compliance monitoring programme on a risk-based approach. Below are the mainly objectives of your role:
- Develop, review and enforce compliance programmes in accordance with the policies and guidelines of the bank and regulatory bodies.
- Conduct regular compliance reviews to ensure following of procedures are meeting regulatory requirements/ business changes
- Handle inquiries from regulators and licensing applications
- Ideally you will have at least 7 years of compliance experience in securities brokerage (ideally Chinese firm preferred).
- Possess good knowledge of local regulatory (SFC) requirements, especially type 1 and 2.
- Good command of both spoken and written English and Chinese (Mandarin is a must).