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
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