Associate, Surveillance and Trading Compliance, Legal and Compliance

6 days ago

Hong Kong Island, Hong Kong SAR China BOC International Holdings Ltd Full time

Associate, Surveillance and Trading Compliance, Legal and Compliance Key Accountabilities Responsible for issuing relevant regulatory updates to business departments and tracking interpretations; Responsible for regular review of trade surveillance and other regulatory compliance programs to identify possible compliance issues, report suspicious trading activities to regulators, and continuously monitor customer trading activities; Responsible for answering daily inquiries or questions raised by various business departments, and explaining to each department the requirements for SFC Code of Conduct, suitability obligations and prevention of market misconduct; Responsible for providing compliance guidance and related training, and making suggestions on the scope of improvement to mitigate compliance risks; Responsible for providing advice to business and middle and backend departments on relevant compliance matters, such as reviewing new products/services and marketing materials to promote business implementation; Responsible for disclosure of interests and reporting to the head office and regulators; Responsible for liaising with regulators, auditors, business and functional departments on compliance issues/matters, and organizing the preparation of reports and providing management with suggestions on systems, processes, control measures, etc.; Responsible for handling inspections, investigations and inquiries from regulators; Perform administrative work and ad hoc tasks as assigned to support the department. Skills & Experience Degree holder of Law/Accounting/Finance or other related disciplines; Minimum 3‑4 years experience in the securities industry in Compliance. Candidates with less experience may be considered for a lower rank; Candidates with full‑time working experience in Hong Kong or overseas is considered an advantage; Strong knowledge of Hong Kong regulatory regime and standards is preferred; Strong team player who is highly motivated, independent and able to work under pressure and tight timelines; Proficient in Cantonese, Mandarin and English. Native Mandarin speakers are preferred. Other Information Please apply in strict confidence with full resume, academic record, current and expected salaries; The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidates will be destroyed within 24 months; Candidates with Enhanced Competency Framework (ECF): please state on the CV. About BOCI As a leading investment bank in China and Hong Kong, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success‑oriented professionals who would like to pursue a career in our group. #J-18808-Ljbffr

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