Compliance Risk Analyst

3 days ago


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

We are seeking a highly motivated Senior Compliance Analyst to join our APAC Asset Management Compliance team. This role offers excellent exposure to develop your career in an international asset management based compliance role.

Key Responsibilities:
  • Support compliance programs and activities across APAC and within a global framework.
  • 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.
  • Partner with compliance team members and managers and staff in the business units to provide technical research and consultation to support compliance programs and initiatives.
  • Assist in the development and maintenance of compliance frameworks and related policies and procedures.
About You:
  • 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.


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