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Compliance Officer

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The responsibilities associated with this role are expected to include but not limited to:

Provide compliance advisory services to management, business and functional units in relation to UK and EU regulatory regimes
Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date
Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to
Monitor business activities and put in place specific measures as necessary
Monitor UK and EU regulatory developments relevant and applicable to the firm and provide impact analysis, work on projects to implement any changes that may be required
Ensure that the AML systems and controls meet regulatory requirements and are complied with
Ensure that the firm complies with the capital requirements under CRD/CRR and IFPR
Handle conflicts of interest analysis and management
Work on compliance operations such as gifts and entertainment registration, personal account dealing and outside business interests approval, handle KYC and client due diligence etc. that may be required
Prepare internal reports and management information, assist on filing regulatory reports
Assist on developing and delivering staff training

Experience

Minimum 5 years of relevant UK/EU compliance experience in an investment bank or securities firm
Experience in relation to securities brokerage and corporate finance preferred
Experience and good understanding of CRD/CRR and IFPR implementation preferred
Familiar with relevant EU and UK regulatory rules applicable to FCA regulated activities

Skills and Abilities

A self-starter with keen initiative and excellent interpersonal skills
A professional with high integrity
Able to work with a minimum level of supervision
Strong analytical and evaluative skills, attentive to details
Good communication skill and a good team player
Chinese language abilities are desirable
Good understanding of EU/UK regulatory issues and developments
General broad understanding of financial products, brokerage and investment banking services

Qualifications

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