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As a member of the compliance team, you key main portfolio is to support the Hong Kong business. You will provide regulatory advice on all investment related agreements and you will work closely with internal business stakeholders to provide regulatory input on agreements as well as correspondences with clients or regulators. The document review may include marketing materials and investment related materials. You will keep yourself abreast of regulatory changes and take a proactive approach in coming up with potential solution to close up the gap.
The compliance team is also responsible for maintaining a robust compliance monitoring program. As such, from time to time, you are to ensure that these policies are implemented and adhered to within the wider business. You will also serve as the point of escalation for AML and KYC matters and provide advisory support.
You should have at least 5 – 7 years of experience in compliance, familiar with cross border compliance work in a financial institution. As the role is to support the Hong Kong business, the candidate must have the ability to read and write traditional Chinese and be conversant in Cantonese. You should also be a team player and have good internal stakeholder management as the role will require you to work closely with different parties.
To apply, please submit your resume to Cynthia Teo at email@example.com, quoting the job title. Due to the volume of application, we regret that only shortlisted candidates will be contacted.