Associate VP, Regulatory Compliance and Compliance Review

Employer
Hudson Hong Kong
Location
Hong Kong, Hong Kong
Salary
Negotiable
Posted
May 21, 2022
Closes
May 27, 2022
Ref
14988195
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Associate - VP, Regulatory Compliance and Compliance Review

You will be working in an Investment Bank, as part of the Compliance Review team, reporting to the Head of regulatory and review.

Responsibilities:
  • Perform compliance review according to an annual compliance review plan, and articulate the findings, details, and suggestions clearly in the report.
  • Maintain the everyday working relationship with regulatory bodies such as the SFC. Including but not limited to: inquiries and referred complaints, preparing submission to regulators handling regulatory investigations on compliance reporting, and regulatory onsite/offsite reviews.
  • Ensure effective and timely implementation by tracking and monitoring the remediation actions suggested in the compliance review report.
  • Prepare management information for regulatory compliance and compliance review teams.
  • Perform the annual assessment of internal controls governing sponsor work.
  • Handle any ad-hoc regulatory compliance and compliance review tasks assigned by the Head of Regulatory Compliance and Compliance Review.


Requirements:

Education & Experience
  • Degree holder in Business Administration, Accounting, Risk Management, Law or related disciplines
  • Minimum 3-10 years of compliance review / internal audit /regulatory compliance experience. Experience in investment banking/ securities industry operations
  • Understanding of Hong Kong securities regulatory requirements
  • Experience with regulators


Personality
  • Self-motivated, pragmatic as well as flexibility and openness to continue learning, evolving and growing
  • Organized and disciplined, able to meet tight deadlines
  • Detailed and responsible, possessing critical thinking and communication skills


Skills
  • Fluency in Mandarin and English, with excellent presentation and written skills
  • Skilled in data analytics and technology

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