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Compliance Analyst

CompliancePlus Consulting Limited

  • Company Industries:Financial Services

Job Information

  • Post Date:2017-02-17
  • Career Level:Entry Level
  • Location:Not Specified
  • Salary:Salary negotiable
  • Employment Type:Full Time, Permanent
  • Job Function:Audit  Fund Management  Legal & Compliance  

Job Description

Responsibilities:

  • Review and update compliance manual and other relevant materials to ensure clients in compliance with current regulatory requirements and financial related rules and requirement in Hong Kong
  • Conduct regular and ad hoc compliance reviews for monitoring overall operations and business of clients from compliance perspective
  • Handle enquiries from regulatory authorities and clients on compliance related matters
  • Handle licensing related matters with the SFC and other government agencies in Hong Kong
  • Provide advice on compliance issues to clients
  • Conduct legal research on financial rules and compiling compliance presentations and training materials.
  • Successful candidates will be offered a comprehensive and in-depth training programme on financial rules and compliance requirements relating to financial institutions and licensed firms

 Requirements:

  • University graduate in Accounting, Finance, Law or related discipline preferred
  • Graduates with strong caliber who can demonstrate exceptional passion and knowledge in compliance would be considered
  • Qualification of Hong Kong Securities Institute LE papers will also be an advantage
  • Familiar with SFO, and the relevant codes/guidelines/regulations of the regulatory bodies
  • Mature, self-motivated, well-organized and able to work independently and exercise good judgments with the highest level of work ethics and integrity
  • Be willing to work as a team with strong team spirit supporting other team members
  • Relevant past internship experience in finance, laws, regulatory and compliance area would be an advantage
  • Good interpersonal skills to communicate with internal staff at different levels
  • Good research skills and writing skills in both Chinese and English  


Please send your CV with cover letter and expected salary to us. 

All information received will be kept in strict confidentiality and only for employment-related purposes

Company Info

CompliancePlus is an independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider" in 2013 & 2017 by AsianInvestorOur dedicated team of compliance officers has years of professional experience equipped with in-depth knowledge of both functional and compliance experience in managing and minimizing regulatory, operational and reputational risks.  

As an award-winning industry leader providing compliance solutions and insights to financial institutions and hedge fund managers in Asia, CompliancePlus brings the most comprehensive and value-added compliance services to our clients, enhancing their competitiveness in the finance industry. We also devote substantial resources in staff training and development. We are now looking for Compliance Analysts and successful candidates will be offered a comprehensive and in-depth training programme to become fully equipped compliance professionals on financial rules and compliance requirements relating to financial institutions and licensed firms.

Please visit our website http://www.complianceplus.hk to learn more about us.

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