Senior Associate -
Compliance Department Hong Kong - Regulatory Compliance and Governance
Job Duties & Responsibilities:
The incumbent will be responsible for providing high-quality advice and executing strategies and instructions regarding licensing, regulatory communications, tracking of regulatory obligations and general regulatory compliance analysis.
Compliance Department Hong Kong - Regulatory Compliance and Governance
Job Duties & Responsibilities:
The incumbent will be responsible for providing high-quality advice and executing strategies and instructions regarding licensing, regulatory communications, tracking of regulatory obligations and general regulatory compliance analysis.
- Execute licensing registrations and updates at both the institutional and individual levels, ensuring compliance with regulatory standards and facilitating efficient approval and registration processes.
- Track regulatory developments and assist in implementing robust tracking mechanisms to ensure the effective and efficient management of all relevant regulatory obligations.
- Collaborate closely with team members and stakeholders to ensure the effective implementation of regulatory requirements while fostering strong engagement with all relevant stakeholders.
- Prepare comprehensive management information to deliver insightful updates on compliance and regulatory risks, as well as the overall landscape. Develop and present impactful reports to management and stakeholders on regulatory and governance matters, compliance status, and recommendations for informed decision-making.
- Proactively escalate critical and material regulatory and compliance risks to LCO HK, while developing practical solutions accompanied by actionable plans to ensure effective compliance risk management.
- Coordinate various global and regional compliance initiatives or projects, working closely with CPLD, CPDAP and group companies.
- Support in guiding and training staff members on compliance policies and procedures.
- Assist in fostering a culture of compliance throughout the organization, promoting ethical conduct and accountability.
- Provide backup for other team members within.
- Degree holder in Legal, Finance, Business or Accounting, with 3-5 years of experience in Compliance
- Basic knowledge on local laws and regulations relates to banking practices
- Business acumen
- Effective organization and prioritization skills
- Ability to work independently and thrive in fast-paced, high-pressure environments
