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Job ref no.: CT3114388-01#6265

Product Compliance Analyst (6 months)

Robert Walters

Temporary

Salary HKD20,000 - HKD25,000 per month + 15 Annual Leave

Location Hong Kong Island

Consultant Tara Lam

An international bank is looking for a Product Compliance / Surveillance specialist to join a 6 months extendable contract. The role will assist Testing and Risk Assessment Compliance team in monitoring of FX and Equities operations and transactions. Candidate must have prior experience in Capital Market / Global Market Compliance and good knowledge on FX and Equities regulatory requirements.

Responsibilities

  • Conduct compliance reviews under the direction of manager to cover APAC market in order to assess and review compliance with legal, regulatory and internal Bank policy requirements.
  • Escalate potential issues noted during the review process for discussion and further investigation.
  • 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 ad-hoc testing on various rules and regulations Conduct.
  • Assist with special investigations and projects by senior Compliance and business management.
  • Assist in compliance related matters during examinations by the Bank’s regulators and internal auditors.

Requirements

  • Prior experience in Transactions/Communication surveillance
  • Global Market / Capital Market Compliance experience is required
  • Experience in FX and Equities Product Compliance would be preferred
  • Good knowledge on Compliance regulations and Exchange rules
  • Good communication skills in English and Chinese

Get in touch

Tara Lam

+852 2103 5351

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More job information
Job ref no. CT3114388-01#6265
Salary
  • N/A
Job Function
Industry
Experience
  • 0 year - 5 years
Career Level
  • Middle management level
Education
  • N/A