Compliance Role:
Conduct compliance monitoring (e.g., trade surveillance especially bond products, KYC/AML checks, employee dealing reviews) to ensure adherence to SFC rules.
Review existing company policy and procedures.
Manage regulatory reporting, including filings with the SFC and responses to regulatory inquiries.
Provide compliance guidance to internal teams and develop training materials on regulatory requirements.
Risk Role:
Conduct risk assessments and internal reviews to identify and mitigate operational, financial, and regulatory risks. Monitor emerging risks (e.g., market, credit, liquidity risks) and recommend mitigation strategies.
Perform product due diligence on new and existing investment products, assessing risk factors such as liquidity, counterparty risk, and suitability for clients.
Collaborate with dealing, compliance, and operations teams to ensure risk controls are effectively implemented.
Qualifications & Requirements
Bachelor’s degree in Finance, Accounting, Risk Management, Business Administration or a related field.
Must have either compliance, dealing or risk management experience in bond, notes and fixed-income products.
In-depth knowledge of SFC regulations, including SFO, AML regulations, KYC procedures, FATCA, and CRS; experience in SFC on-site inspection is an advantage.
Strong problem-solving and communication skills, proficient in both written and spoken Chinese and English.
All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.
Full-time
举报职位
