Job ref no.: CT3119652-01#0627

Compliance Analyst

Robert Walters

Role Overview: The compliance analyst will assist the testing and risk assessment team in conducting compliance testing and monitoring duties. This is a 6-month contract with potential to renew and convert with a renowned investment bank.

Key Responsibilities:

  • Conduct compliance reviews to assess and review compliance with legal, regulatory and internal Bank policy requirements
  • Escalate potential issues and exception items noted during the review process for discussion and further investigation if deemed necessary
  • Prepare and distribute reports to senior management detailing review findings and recommendations.
  • Periodically report on significant activities conducted and planned for the upcoming period
  • Conduct adhoc test work of various rules and regulations
  • Conduct or assist with special investigations and projects as deemed necessary by senior compliance and business management
  • Assist in compliance related matters during examinations by the Bank’s regulators and internal auditors

Key Skills:

  • Some compliance experience, preferably in transactions and/or communications surveillance. Internal audit or other control function is also an advantage
  • Exposure to trading desks, electronic trading market and securities industry strongly preferred
  • Basic knowledge of regulations and exchange rules
  • Good communication skills in English and Chinese.
  • Good team player

Company Overview:

This is a leading investment bank.

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More job information
Job ref no. CT3119652-01#0627
  • N/A
Job Function
Employment Term
  • Full-time
  • 0 year
Career Level
  • Non-management level
  • N/A