Compliance Officer - Regulatory & Policies, Hong Kong

Tasks

• Compliance Consulting and Monitoring for BJHBK
• Compliance monitoring tasks, including, but not limited to, monitoring activities related to employees; gifts and hospitality received or offered by employees in confidential settings; and review of product training materials
• Assessment of the suitability of seminars and training courses for all employees as part of continuing professional training (CPT), in accordance with the guidelines on continuing professional development issued by the Securities and Futures Commission ("SFC")
• Process for new employees, including, but not limited to, updating compliance onboarding checklists and recording license status, distributing emails to new employees, and processing declarations related to new employees
• Licensing Process for Relevant Individuals (Conducting suitability and trustworthiness screenings of potentially relevant individuals and registration checks)
• Handling inquiries directed by the SFC to individual licensees pursuant to the Securities and Futures Ordinance (SFO), including, but not limited to, licensees and related matters
• Served as coordinator for the Business Continuity Process ("BCP") on behalf of Compliance HK
• Handling other ad hoc compliance-related inquiries as needed
• Coordination of Compliance HK's Management Information Reports

Requirements

• College degree, preferably in law, finance, accounting, or business
• At least 3 years of professional experience and/or experience in the financial sector in Hong Kong (regulation/compliance/risk)
• Certified Compliance Professional—General Compliance Stream Preferred
• Attention to detail
• Team Orientation
• A strong sense of responsibility and impeccable integrity