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:
Requirements:
Education & Experience
Personality
Skills
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