Compliance Officer - Hong Kong Investment Bank Compliance Officer - Hong Kong Investment Bank …

Arion House
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 May 20
Competitive
Arion House
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 May 20
Competitive
This role will be in charge of regulatory reporting function and will be responsible for the monitoring of equity positions and reporting of large shareholding, short position, and takeover rule, and filing for Hong Kong. Will also be responsible for the SEBI ODI reporting. This role will also be responsible to 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. In addition, the Compliance Officer will participate in Central/Core Compliance duties like licensing, personal employee trading, SFC requests, and training.

Job Responsibilities:

  • 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

  • Mandarin preferred

  • Working relationships and experience with local regulators will be highly regarded

Requirements: 

  • 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.

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