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Compliance Officer

Black Swan Group Hong Kong
Gepostet vor 2 Monaten Permanent HK$45k - HK$70k
M
Gepostet von
Mark Joiner
Recruiter
Our client, an international institutional brokerage, is seeking a Compliance Officer (equivalent of AVP or VP) to support the APAC compliance team with a focus on monitoring of staff compliance with internal policies, relevant rules and regulations and supporting the business with their daily compliance need. The role reports in to the Head of Compliance, Hong Kong and is part of the Regional Legal and Compliance function managed by the General Counsel, Asia.

Responsibilities

  • Client monitoring and KYC review
  • Perform error trade reporting and other routine reporting to SFC and HKEx
  • Perform short sell reporting and other routine reporting to ASX and ASIC
  • Compiling incident reports for APAC compliance incidents
  • Support trade surveillance and reporting in Australia and Hong Kong markets
  • Perform monitoring, testing and reviewing compliance controls in relation to staff compliance with firm’s policies and procedures
  • Perform monitoring, testing and reviewing compliance controls in relation to electronic trading
  • Preparing compliance reports, management reports and other ad hoc compliance duties
  • Liaising with global compliance teams to respond to regulator enquiries in offshore jurisdictions
  • Reviewing marketing material to ensure compliance with internal policies

Requirements

  • Bachelor's Degree in business, legal or related discipline
  • 5 plus year’s experience in financial services compliance preferred
  • Excellent interpersonal skills and ability to work independently
  • A professional manner and willingness to learn and develop
  • Logical working style and attention to detail
  • Excellent command of English
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