Our client is a Nasdaq listed financial institution with renounced reputation worldwide. They are currently looking for a Compliance Analyst to join their APAC team. The position will report regionally to the Head of Compliance in Australia and APAC Compliance Manager in HK.
The main responsibilities for this role include:
- Act as the liaison person to interact with regulators and other financial services regulatory agencies for the Australia office;
- Assist in the coordination of regulatory inspections, self-assessments and regulatory surveys for the platform’s APAC entities to ensure timely and quality submissions
- Assist in the information gathering and drafting of written responses to regulatory enquiries, questionnaires, and consultations for the company’s APAC entities;
- Keep abreast of new regulations and updates and disseminate regulatory notices, circulars, and other regulatory developments to management, compliance teams within APAC region and relevant stakeholders;
- Assist in monitor progress of remediation exercise to ensure completeness;
- Assist in the co-ordination and handling of Compliance related requests from internal and external auditors for other entities in the APAC region.
- University qualification in a relevant discipline - law degree preferred;
- Familiarity with the regulatory process, rules and codes related to Australia. Candidate with regional exposure (in particular Hong Kong, and Singapore) will have an advantage.
- Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
- Self-starter with strong analytical skills;
- Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment
- Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
- Good Microsoft office skills (i.e. Word, Excel and PowerPoint).
- Ability to work in a small-team environment and to multi-task with minimal supervisory;