Compliance Expert

4 days ago

Hong Kong, Central and Western District, Hong Kong SAR China ACCA Careers Full time

About ACCA Careers:

As a leading professional body, we are dedicated to promoting public trust in business and the accountancy profession. Our members work in all sectors of business and finance, helping individuals, businesses and economies to grow.

We have been supporting our members for over 100 years, providing them with opportunities for education, training and development. With a strong global presence, we help our members stay up-to-date with the latest developments in their field, enabling them to succeed in their careers.

The Senior Compliance Analyst will work within an APAC Asset Management Compliance team operating in a successful international Asset Management business. The role offers excellent exposure to someone looking to develop their career in an international asset management-based compliance role.

The position will provide support to the compliance programs and activities across APAC and within a global framework. Partnering with compliance team members and managers and staff in the business units, the incumbent will provide consultation and advice on regulatory matters, conduct compliance monitoring and testing activities, focusing on areas of portfolio management and trading, surveillance, and conduct obligations, with compliance and business partners based in Australia, Hong Kong, Japan, and Singapore. Coordinating such APAC activities with EMEA and US counterparts.

Key Responsibilities:

  • Monitoring and testing of the APAC-wide regulatory and corporate compliance obligations
  • Supporting execution of the global trade and communication surveillance programme
  • Providing technical research and consultation to support compliance programs and initiatives
  • Assisting in the development and maintenance of compliance frameworks and related policies and procedures
  • Providing ad-hoc project support as required, and supporting senior members of the department in the identification, planning, and execution of the department's activities.
  • Providing support to the wider compliance team as and when required

Requirements:

  • Proven experience in advising and/or monitoring of asset management business
  • Strong background in and understanding of investment management products and services with understanding of securities, cash, and derivatives market instruments
  • Working knowledge of SFC regulations, while also benefiting from international exposure e.g., other APAC regulators would be an advantage
  • Prior experience in the interpretation and analysis of industry standards
  • Analytical ability to identify and understand problems and provide effective solutions
  • Highly motivated individual who has a proven record of using initiative to resolve problems
  • Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
  • Excellent verbal and written communication skills
  • Desire to stay in front of new business/regulatory developments
  • Excellent organizational and analytical skills
  • Knowledge of Excel macros

Benefits:

We offer a range of benefits to our employees, including competitive salaries, comprehensive health insurance, and a generous pension scheme. We also offer flexible working arrangements, including remote working options, to help you achieve a better work-life balance.

In addition, we provide ongoing training and development opportunities to help you enhance your skills and progress in your career. We also offer a range of employee recognition and reward schemes to recognize and reward your hard work and contributions to the company.

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