Overview

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.

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