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Financial Services Regulatory Expert

2 weeks ago


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

Job Description:

  • Key Responsibilities:
  • Monitoring and testing of regulatory and corporate compliance obligations
  • Supporting execution of trade and communication surveillance program
  • Providing technical research and consultation to support compliance programs and initiatives
  • Assisting in development and maintenance of compliance frameworks and related policies and procedures
  • Providing ad-hoc project support as required
  • Supporting senior members of the department in identification, planning, and execution of department's activities

About You:

  • Proven experience in advising and/or monitoring of asset management business
  • Strong background in understanding of investment management products and services, including securities, cash, and derivatives market instruments
  • Working knowledge of SFC regulations, with international exposure beneficial
  • Prior experience in interpretation and analysis of industry standards
  • Analytical ability to identify and understand problems and provide effective solutions
  • Highly motivated individual with proven record of using initiative to resolve problems
  • Ability to make decisions and be a team player and effective communicator
  • Excellent verbal and written communication skills
  • Desire to stay up-to-date with new business and regulatory developments
  • Excellent organizational and analytical skills
  • Knowledge of Excel macros