Regulatory Control Specialist

4 days ago


Hong Kong, Central and Western District, Hong Kong SAR China Rangam Infotech Pvt. Ltd. Full time

Job Description:

We are looking for an experienced Regulatory Control Specialist to join our Operations Risk & Regulatory Control Division. The successful candidate will be responsible for building a detailed understanding of each exception type to ensure accurate filings.

Key Responsibilities:

  • Monitor and report on exceptions to identify potential disclosure obligations
  • Develop knowledge of security transactions and various product types
  • Acquire intricate knowledge of firm systems, data sources, and processes
  • Closely communicate with the dedicated compliance team
  • Identify and implement process improvements
  • Provide support to other members of the team

Requirements:

  • Minimum 3-5 years of experience in risk management or regulatory control
  • Advanced knowledge of trade flows and operational models
  • Excellent verbal and written communication abilities
  • Ability to absorb information quickly and learn from experience

Team Environment:

The Operations Risk & Regulatory Control Division is a global team with over 150 team members across the Firm. The successful candidate will work closely with the dedicated compliance team to ensure accurate filings and reporting.



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