Communication Surveillance Compliance Analyst
Location Hong KongCONTRACTOR
Consultant Carmen Chin
Date posted 26 April 20192019-04-26 2019-05-26 banking 41 Connaught Road Central Hong Kong Robert Walters
Role Overview: The communiations surveillance compliance analyst will assist the testing and risk assessment team in conducting compliance testing and monitoring duties in global markets. This is a 6-month contract with potential to renew and convert with a renowned investment bank.
- Conduct compliance reviews to assess and review compliance with legal, regulatory and internal Bank policy requirements
- Escalate potential issues and exception items noted during the review process for discussion and further investigation if deemed necessary
- 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 adhoc test work of various rules and regulations
- Conduct or assist with special investigations and projects as deemed necessary by senior compliance and business management
- Assist in compliance related matters during examinations by the Bank’s regulators and internal auditors
- Some compliance experience, preferably in transactions and/or communications surveillance. Internal audit or other control function is also an advantage
- Exposure to trading desks, electronic trading market and securities industry strongly preferred
- Basic knowledge of regulations and exchange rules
- Good communication skills in English and Chinese.
- Good team player
This is a leading investment bank.