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Compliance Analyst

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Our client is seeking a dedicated and meticulous Compliance Analyst to join their team in Hong Kong. The successful candidate will implement rules, processes, and controls to mitigate conduct and regulatory risk. This role requires a strong understanding of HKMA and SFC regulations, excellent communication skills, and the ability to work independently.

What you'll do:

As a Compliance Analyst, you will be responsible for adopting and deploying licensing regulatory requirements, handling SFC and HKMA licensing matters, tracking licensing examinations, managing returns, advising on country-level licensing matters, implementing controls, conducting control testing, preparing reports, running the annual fit-and-proper declaration process, and managing relationships with regulators.

  • Adopt and deploy licensing regulatory requirements
  • Handle SFC and HKMA licensing and regulatory appointment matters
  • Track status for licensing examination and CPT
  • Manage returns and notifications to SFC and HKMA
  • Advise on licensing matters on country level
  • Implement controls and key reporting indicators
  • Conduct control testing to ascertain accuracy and completeness of the licensing records
  • Prepare control testing and other related key indicator reports
  • Run the annual fit and proper declaration process
  • Manage the relationship with regulators

What you bring:

The ideal Compliance Analyst will bring a wealth of experience in central/regulatory compliance. She will be conversant with HKMA and SFC regulations, have a good knowledge of compliance frameworks and financial products, possess excellent communication skills in both English and Chinese, have good IT skills particularly in MS Word, Excel, PowerPoint. She should also have a strong sense of ethics culture and literacy, be able to work independently, pay attention to detail, possess an investigative nature.

  • Conversant with HKMA and SFC regulations
  • Good knowledge of compliance framework and financial products
  • Good verbal and written communication skills in English and Chinese
  • Good IT skills in MS Word, Excel and PowerPoint
  • Possess sense of ethics culture and literacy
  • Ability to work independently
  • Attention to details
  • Possess an investigative nature

What sets this company apart:

Our client is a globally recognised organisation that values diversity, inclusivity, collaboration, commitment. They are known for their high standards of professional ethics and their commitment to mitigating conduct and regulatory risk. They offer a supportive and inclusive work environment where every employee is valued for their unique contributions.

What's next:

If you're ready to take your career to the next level, apply today

Contract Type: FULL_TIME

Specialism: Financial Services

Focus: Finance & Accounting

Industry: Banking

Salary: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Hong Kong

Job Reference: IOO9PW-6E82CAF6

Date posted: 04 June 2024

Consultant: Matthew Sullivan

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