Regulatory Compliance Analyst

4 days ago

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

About Our Company:

We are a leading professional body, 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 role is part of our APAC Asset Management Compliance team, which operates in a successful international Asset Management business. This role offers excellent exposure to someone looking to develop their career in an international asset management-based compliance role.

The position provides 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:

  • Providing consultation and advice on regulatory matters to the compliance team and business partners
  • Conducting compliance monitoring and testing activities across APAC and globally
  • Developing and maintaining compliance frameworks and related policies and procedures
  • Supporting the execution of the global trade and communication surveillance programme
  • Providing ad-hoc project support as required, and assisting in the identification, planning, and execution of the department's activities
  • Collaborating with compliance and business partners to ensure effective compliance oversight

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

Our Culture:

We have a strong culture of collaboration, innovation, and continuous learning. Our employees are passionate about making a positive impact in the community and are committed to upholding our values of integrity, respect, and excellence.

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.

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