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Associate, Regulatory Compliance
4 months ago
Job Description
Responsibilities
The successful applicant will possess familiarity with the rules and regulations applicable to the Hong Kong financial industry, knowledge of the Hong Kong financial regulators and be comfortable dealing with clients.
Tasks
Provide regulatory compliance advisory and consultancy services to clients. Submit and/or review of regulatory filings and notifications. Liaise and correspond with regulators and auditors. Assist with periodic compliance reporting to senior management or board of directors of clients. Review compliance manuals. Prepare compliance checklists, registers, and calendars. Prepare regulatory returns and forms. Perform ad-hoc projects, such AML/CFT CDD checks.