Hybrid Compliance Analyst

Posted 5 days ago

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About the role

  • Analyst helping clients set up compliance solutions and navigate financial regulations. Manage client portfolios and undertake compliance reviews within SFC regulated environments.

Responsibilities

  • Managing a portfolio of clients regulated by the SFC and other global regulators
  • Drafting compliance manuals and other compliance documentation for clients
  • Establishing and maintaining the compliance infrastructure for clients
  • Undertaking periodic compliance monitoring reviews at client premises
  • Prepare and refine audit procedures for the conduct of audit engagements/projects across APAC
  • Execute audit procedures to assess, design and operating effectiveness of internal controls
  • Prepare written audit reports by drafting audit issues and recommendations on the review results of audit engagements/projects
  • Drafting and/or reviewing regulatory reports and returns

Requirements

  • Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
  • Good understanding of the financial services industry i.e. asset management and broking sectors
  • Strong English oral and written communication skills
  • Risk tolerant and comfortable in a rapidly changing environment
  • Legal or audit background would be useful
  • Excellent written and verbal communication skills that help represent diverse communities

Job title

Compliance Analyst

Job type

Experience level

Mid levelSenior

Salary

Not specified

Degree requirement

No Education Requirement

Location requirements

HybridHong Kong

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