Responsible for conducting internal compliance reviews based on periodic risk assessments, and handling major regulatory investigations in particular in the context of enforcement proceedings.

Key Responsibilities

  • Conduct compliance regulatory reviews and investigations in Hong Kong, and also regionally.
  • Submit an annual Compliance review plan based on the findings of Compliance risk assessments, trade surveillance and internal audit reports as well as external investigations/inspections.
  • Assist management in conducting reviews on business areas to identify areas for improvements.
  • Assist management in conducting reviews on cases that are being investigated or reviewed by regulators.
  • Identifies and controls legal, compliance and reputational risks.
  • Liaises with regulatory authorities in Hong Kong.
  • Conduct Compliance reviews in those activities/entities identified as being exposed to potential regulatory sanction due to multiple regulatory breaches or displaying significant systems and control deficiencies.
  • Work closely with Capital Markets and Country Compliance teams within the APAC region.
  • Support and work with the Regional Head of Capital Markets Compliance, Regional Head of Compliance and Control, and Global Head of GECD & Corporate Finance, Global Head of Compliance and Control as required, including timely reporting of issues and activities and escalation to Compliance management where required.

Qualifications & Competencies Required

  • 7-10 years’ experience in a senior Compliance role, preferably with investigation and review experience.  Experience with Law Enforcement agents or regulatory bodies a plus.
  • Extensive knowledge of applicable exchange rules and regulations in at least Hong Kong and Singapore with respect to securities activities.
  • Experience in co-ordination role is essential.
  • Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels, especially with senior management.
  • Be flexible and adopt a hands on approach.
  • Excellent written and spoken English and Cantonese is essential.

You can apply to this job and others using your online resume. Click the link below to submit your online resume and email your application to this employer.