Product Compliance Analyst (6 months)
Salary HKD20,000 - HKD25,000 per month + 15 Annual Leave
Location Hong Kong Island
Consultant Tara Lam
Date posted 31 May 201841 Connaught Road Central Hong Kong Robert Walters Hong Kong
An international bank is looking for a Product Compliance / Surveillance specialist to join a 6 months extendable contract. The role will assist Testing and Risk Assessment Compliance team in monitoring of FX and Equities operations and transactions. Candidate must have prior experience in Capital Market / Global Market Compliance and good knowledge on FX and Equities regulatory requirements.
- Conduct compliance reviews under the direction of manager to cover APAC market in order to assess and review compliance with legal, regulatory and internal Bank policy requirements.
- Escalate potential issues noted during the review process for discussion and further investigation.
- Prepare and distribute reports to senior management detailing review findings and recommendations.
- Periodically report on significant activities conducted and planned for the upcoming period.
- Conduct ad-hoc testing on various rules and regulations Conduct.
- Assist with special investigations and projects by senior Compliance and business management.
- Assist in compliance related matters during examinations by the Bank’s regulators and internal auditors.
- Prior experience in Transactions/Communication surveillance
- Global Market / Capital Market Compliance experience is required
- Experience in FX and Equities Product Compliance would be preferred
- Good knowledge on Compliance regulations and Exchange rules
- Good communication skills in English and Chinese