A Top Tier Investment Bank is currently looking for a Associate, Compliance Licensing to join their team in Hong Kong.
The Licensing Team within the Hong Kong Compliance handles and provides regulatory advice on licensing and registration matters, monitors compliance with applicable local licensing regulatory requirements.
- Perform day-to-day licensing and registration work covering temporary and permanent licence application and cessation.
- Provide compliance support to the HK Licensing team on BAU licensing tasks such as:
- Compile licensing review reports for various lines of business
- Review of HR movement report to identify any gaps
- Send regular reminders to senior managers including Executive Officers, Responsible Officers, Managers in Charge, Principally Responsible Persons and s72B managers
- Send licensing exam reminders to licensed person
- Monitor the annual Continuous Professional Training hours for licensed person
- Perform outside business interest review for licensed person
- Proactively engage with and escalate timely any licensing exceptions or issues identified to the team for consideration.
- Assist in any other ad-hoc licensing tasks as and when necessary.
- Proactively engage with relevant business stakeholders, line of business compliance and HR as appropriate.
- Maintain good relationship with the regulators, HKMA and SFC.
CIB & PB businesses, various compliance teams, legal and other corporate and control functions within the Group.
The Hong Kong regulators - HKMA and SFC
- Fluent written and spoken English and Chinese
- Degree qualified with at least 3 years of relevant experience gained within banking, financial, legal, compliance, regulatory or audit environment
- Previous experience in handling HK licensing matters an advantage
- Sound knowledge of Hong Kong licensing rules and regulations, financial products, and awareness of financial regulatory environment
- Excellent communication skills (written and verbal) and interpersonal skills
- Strong analytical and problem-solving skills
- Ability to work independently
- A team-player, self-motivated fast learner
- Control-focused, detail oriented, organized and efficient
- Ability to determine priorities, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment
- Flexible and adaptable to dynamically changing work processes and environment
- Proficient with Microsoft Excel, PowerPoint and Access database an advantage