As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career in our group.
- Responsible to conduct regular and ad hoc review of communication using the Company's surveillance tools;
- Conduct independent analysis and identify suspicious activity which may violate the Chinese Wall Procedures;
- Pro-actively and timely escalate issues to the Team Head for further investigation as appropriate;
- Assist to implement new and enhanced surveillance reviews and processes;
- Manage and support surveillance systems maintenance and enhancement;
- Responsible to review the due diligence control checklist on sponsor deals;
- Submission of regulatory filings for GO deals as and when required;
- Any other duties as assigned by the Team Head from time to time.
- The candidate must be ready to cope with a significant workload of alerts and messages to review every day
- 5+ years direct experience in electronic communication surveillance role, or experience working as a regulatory or enforcement officer, or in a role in compliance, audit, risk management or similar function in the financial industry
- Self-motivated with a strong sense of ownership and accountability
- Results oriented, strong attention to details, good judgment skills, discretion and confidentiality in all tasks
- Ability to multi-task and prioritize effectively
- Knowledge of Compliance laws, rules, regulations as well as market practice
- Bachelor Degree holder (preferably in Law or Finance)
- Proficiency in spoken and written English and Chinese (both Cantonese and Mandarin)
- MS Office applications (Excel, Word, PowerPoint)
Notes to applicants:
- Please apply in strict confidence with full resume, academic record, current and expected salaries.
- The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
- Candidates with Enhanced Competency Framework (ECF): please state on the CV.