Officer, Central Compliance, Compliance

Position Description

This position will participate in Central duties in the areas of licensing, personal employee trading, SFC regulatory inquiries such s181/182 requests, ad hoc investigation, survey and training.

Key Areas of Responsibilities

• Handle various regulatory notifications, including incidental and suspicious violations, and ensure compliance with SFC notification requirements.
• Handle SFC licensing matters, including licence applications, terminations, notifications, and submission of Annual Returns, in a timely manner.
• Process staff outside account requests, review outside account statements, and clear alerts generated by the in-house staff dealing and compliance declaration systems.
• Follow up with new joiners to ensure completion of required compliance declarations upon joining and annually thereafter.
• Maintain internal records, including training records, policies and procedures, and licensing details.
• Assist with compliance training logistics.
• Work with IT on system development and enhancement projects.
• Identify opportunities for process improvement and assist with implementation.
• Assist in providing information in response to SFC regulatory enquiries, including Sections 181/182 requests, ad hoc investigations, surveys, and follow-up questions.
• Handle requests from internal and external auditors.
• Perform other tasks as assigned by the manager from time to time.

Requirements

• Degree or above in tax accounting, Finance, or related discipline.
• Minimum 1–2 years of relevant experience in a securities/investment banking firm, Big Four/consulting firm, or regulatory body, preferably in a compliance testing or internal audit capacity.
• Experience working with local regulators will be highly regarded.
• Strong communication and interpersonal skills.
• Proficient in MS Office (Outlook, Word, Excel, and PowerPoint) with good IT literacy.
• Excellent command of written and spoken English and Chinese, including Mandarin.
• Candidates with 3–4 years of relevant experience may be considered for an Associate-level position.

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