Senior Associate, Compliance Review and Monitoring – Brokerage and Capital Markets

Job description

Responsibilities

• Handle SFC enquiries and S181, S182 & S183 investigations by the SFC, and investigations/ enquires from other authorities.
• Design compliance surveillance programs and conduct compliance monitoring/ reviews and ad-hoc investigations (including investigations of suspicious activities/ transactions). Report non-compliance issues noted and suggest remedy/ resolution and/or related compliance improvement plan.
• Liaise with business, operations and risk management units, auditors and regulatory authorities on compliance related matters/ issues.
• Perform follow-up reviews/ checks to ensure that findings/ issues identified by regulators, external auditors and internal auditors are promptly rectified, and recommendations are implemented on a timely basis.
• Prepare and establish compliance policies & procedures and related guidelines, and review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments/ business units, to ensure compliance with applicable internal, legal and regulatory requirements.
• Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and compliance culture by preparing compliance training materials, conducting compliance trainings

Requirements

• University degree in Accounting, Business, Law or related discipline 
• 5 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities
• Experience in performing compliance or similar training, development of policies and procedures, and the conduct of compliance review and investigations.
• Sound working knowledge of SFO and regulations
• Good command of written and spoken English and Chinese.
• Good leadership, communications skills
• Will consider internal auditors who would like to develop their career in compliance field

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hk  Web: www.charterhouse.com.hk

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