BAU - prepare and review DOI and Short Position reports for substantial equity holding in Hong Kong. Facilitate reporting for the other jurisdictions.
BAU – prepare and review Offshore derivatives instruments report for SEBI
BAU - monitor changes in takeover rule, DOI rule, short reporting rule, substantial equity holding, and industry specific thresholds and promptly modify logic set up in internal compliance product
BAU - responsible to investigate data issues for position reporting gap and design effectiveness of current
BAU process and write or update procedure manual and incident report
BAU – monitor Bank Holding Co Act limits and collaborate with FICC compliance to clear FICC transactions below limit (ad hoc)
BAU – SFC181/182
BAU – participate to licensing work, including tracking licensing, notification
BAU – personal trading
BAU – training
Skills & Experience:
2-3+ years within a securities / investment banking firm or big four / consulting firm or regulatory body, in a compliance testing or internal audit capacity.
Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA).
Strong communication and interpersonal skills
English and Cantonese
Working relationships and experience with local regulators will be highly regarded
Relevant tertiary qualifications
5+ years of relevant experience, at least 2 years of which must be within a securities or investment banking business or regulator.
Sound knowledge of Hong Kong and global investment banking related regulations and company legislation.
Strong communication and interpersonal skills, and excellent relationship building skills.
Strong analytical skills and ability to make sound judgments especially in the absence of absolute clarity in the legal and regulatory environment.
Near-native written and spoken fluency in English, both written and verbal.
Mandarin and or Cantonese skills will be highly regarded.
Working relationships and experience with local regulators will be highly regarded.