This is a newly created role for a leading investment bank in Hong Kong. As a general compliance role, this person will be able to gain exposure to all areas of the compliance function.
- Working with business lines and supporting operation teams to provide compliance and risk expertise.
- Design and development of testing strategies and methodologies in accordance with relevant rules and regulations that the Group’s business lines are applicable to.
- Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls.
- Report findings and provide recommendations to business line and management.
- Provide compliance expertise in identification of risks, assessing of controls and reporting on effectiveness of controls to ensure compliance with federal, state, and agency, legal, regulatory and policy requirements.
- At least 6 years’ of relevant experience in the securities or investment banking industry
- Hands on experience with operational risk systems/regulatory compliance/statutory auditing
- Demonstrated understanding of regulatory compliance and/or operational risk management industry requirements and practices
- Ability to multi-task between multiple and ongoing responsibilities and assignments
- Strong sense of ownership and responsibility
- Knowledge of products for SFC regulated activities (i.e. Type 1, 2, 4, 6, 9) and AML/CFT regulatory requirements