Our client, a Global Investment Bank in Hong Kong is looking for a compliance associate to join their well-established compliance team where you will assist in carrying out monitoring and surveillance of stock trading activities and managing HK regulatory licensing related matters
Responsibilities of the Role:
- To carry out monitoring and surveillance of stock trading activities
- To monitor and report short positions and substantial shareholdings to regulators
- To assist in special assignment, project coordination and implementation of new policies as assigned
- To coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection, or investigation
- To conduct investigation into any violations of the rules, regulations and firm's policy and procedures
- To assist in managing HK regulatory licensing related matters
- To assist in coordinating new hire and ongoing trainings and maintain employee continuous professional training records
Requirements of the Role:
- 3-5 years' experience in compliance or internal control in the securities industry ideally gained from a major US or European investment bank or comparable experience in consultancy, audit for financial services.
- Good knowledge of financial markets and be ready to learn
- Good analytical and communication skills
- Self-motivated and innovative
Company Reg. No.: 201131609D | Licence No.: 11C4684 | EA Reg No: R2196467