Job Requirements
- Lead the design and delivery of Compliance testing to monitor regulations and internal policy
- Contribute to global discussions regarding testing matters (ex. global templates and best practices)
- Perform quarterly/ semi-annual/ annual test checks and testing
- Analyze test check and review to identify any risks or issues related to the rules, regulations and procedures
- Provide assistance in designing and implementing of new test checks and reviews
- Conduct compliance checks on internal and external regulatory requirements and submit testing reports
- Advise and approve on cross-border regulatory compliance activities
- Analyze regulation changes, update compliance policies and procedures and enhance internal control measures
- Provide training to internal stakeholders on new policies and procedures
- Assist in development of strategies and methods related to compliance for implementation
Qualifications
- Bachelor's degree in Finance, Business Administration or other relevant disciplines
- Around 4-7+ years of compliance experience in investment/ securities firms
- Previous experience in internal audit, compliance policy, regulatory examination, operational risk management, compliance assurance, compliance testing/ review
- Knowledge in global macroeconomics, politics and socio-cultural developments
- Knowledge in Banking Ordinance, HKMA, SFC regulations and guidelines
- Proficiency in English; Proficiency in Cantonese is advantageous
