CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Our Tier 1, award winning Corporate and Investment Banking client is seeking a Compliance Analyst to join the Hong Kong team for a 6 months contract.
Reporting directly to the Senior Compliance Specialist, you will assist with independent Testing and Risk Assessment team in conducting compliance testing and monitoring duties.
To be successful in this role, you will need to be analytical, accurate, and process-oriented. Fluency in written and verbal English and Cantonese is also required.
Working amongst a small team, this is a great learning opportunity for an individual with 1+ years' experience in a similar position looking to further develop their experience in Compliance/Surveillance and monitoring
Conduct compliance reviews under the direction of the Head of Independent Testing & Risk Assessments (IT&RA) APAC in order to assess and review compliance with legal, regulatory and internal Bank policy requirements.
Escalate potential issues and exception items noted during the review process to Head of IT&RA APAC for discussion and further investigation if deemed necessary.
Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period.
Conduct adhoc testwork of various rules and regulations Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
Assist in compliance related matters during examinations by regulators and internal auditors
The Essential Skills:
University graduate with 1 years or more experience with compliance experience preferably in transactions and/or communications surveillance. Internal audit or other control function is also a advantage
Exposure to trading desks, electronic trading market and securities industry is highly beneficial
Sound English and Chinese communication skills is a must. Fluency in French will be highly regarded
Good project coordination skills and ability to draft presentation
Strong interpersonal and communication skills, good team player
About Our Client
Our client is a prestigious international bank with a long history of providing corporate banking solutions to businesses and to large local companies, financial institutions and multinationals. We look for talented, tenacious individuals who are hungry to progress and eager to grow their knowledge.
To be considered for this role, please apply via the below link
Values and Diversity
Dynamic working gives everyone at our client the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager. They are an equal opportunity employer and are opposed to discrimination on any grounds. It is the policy of our client to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.