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Officer, Regulatory Compliance - Investment Bank

Job Title: Officer, Regulatory Compliance - Investment Bank
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Industry:
Salary: Negotiable
Reference: BBBH8345_1542179652
Contact Name: Christina Lau
Contact Email: christina.lau@kos-intl.com
Job Published: November 14, 2018 15:14

Job Description

Our client is a prominent investment bank with well established business portfolio. They are currently hiring a regulatory compliance officer. Immediate available candidate swith experience working for Chinese investment banks or securities firms will be highly regarded, and knowledge in SFC regulations and license application knowlede will be essential.
Reporting into the Regulatory Compliance head, you will liaise with SFC on license applications and be the go-to person for all applications-related enquiries. You will be involved in developing and implementing new compliance policies and procedures coping with the fast growing business; also monitoring the trading patterns of targeted SFC license representatives. You will also be responsible for the documentation and development of compliance trail, and also identify, pursue and generate new potential compliance risks.
The ideal candidate will be degree educated with minimum 3 years relevant experience acquired from audit firms, securities firm or investment banks with strong knowledge around audit procedures, legal and finance. You will have good communications skills in both Chinese and English influencing senior business stakeholders, and also the strong multi-tasking and project management skills within tight deadlines. SFC license experience is essential for this role and hands on compliance review experience in brokerage, AML and staff dealings will be essential. CPA qualified will be preferred and immediate available candidates highly regarded.

Click "Apply Now" to apply for this position or call Christina Lau at +852 3180 4934 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.