DEPARTMENT: Compliance HK

Summary 

To assist the Capital Market Compliance Manager in performing the compliance function covering capital market activities in CACIB Hong Kong.

Key Responsibilities

• Carry out daily compliance functions primarily for capital markets business and operations;
• Maintain compliance oversight; conduct compliance analysis and monitoring or review in accordance with the Compliance Plan, to ensure staff adhere to internal control and regulatory requirements;
• Build and implement compliance policies, procedures and controls;
• Review new business/activity proposals by the business or operations;
• Monitor changes in the regulatory (including HKMA and SFC) and compliance environment, analyse their impact on the business lines and operations and keep staff informed of relevant updates;
• Provide training on regulatory requirements or compliance issues/procedures to staff;
• Assist with periodic compliance reporting to senior management;  
• Help with ad hoc duties as assigned by other Managers or the Head of Dept.

ROLE REQUIREMENTS:

• University graduate, preferably in a finance or accounting related discipline;
• A minimum of 1 years’ product compliance with financial institutions or other relevant experience;
• Knowledge of HKMA and SFC regulations and rules applicable to capital markets products;
• Strong analytical and problem solving skills;
• Ability to address issues independently;
• Self motivated and hardworking with a strong sense of commitment and responsibility;
• Good interpersonal skills;
• Fluent in English and native language.

Application Method:

Please apply directly on JobsDB. A rewarding package will be offered to successful candidate.

Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data

policies, a copy of which will be provided immediately upon request.