Compliance Analyst - 6 months contract

  • Competitive Salary
  • Hong Kong
  • Contract, Full time
  • Resource Solutions
  • 16 Apr 19

Our client, a Tier 1, international corporate and investment bank, is looking for a Compliance Analyst to assist the Independent Testing and Risk Assessment Compliance team in conducting compliance testing and monitoring duties.

Key Responsibilities

  • Conduct compliance reviews under the direction of the Head of Independent Testing & Risk Assessments (IT&RA) APAC in order to assess and review compliance with legal, regulatory and internal Bank policy requirements.
  • Escalate potential issues and exception items noted during the review process to Head of IT&RA APAC for discussion and further investigation if deemed necessary.
  • Prepare and distribute reports to senior management detailing review findings and recommendations.
  • Periodically report on significant activities conducted and planned for the upcoming period.
  • Conduct ad hoc test work of various rules and regulations Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
  • Assist in compliance related matters during examinations by the Bank’s regulators and internal auditors/IG.

Specific Qualifications Required

  • At least one year of experience in compliance, preferably in transactions and/or communications surveillance.
  • Experience in internal audit or other advisory functions is an advantage.
  • Exposure to trading desks, electronic trading market, and securities industry strongly preferred.
  • Basic knowledge of Global Markets, regulations and exchange rules.
  • Good team player with excellent spoken and written communication skills.
  • Fluent English is a must, other languages an advantage.

About Our Client

Our client is a prestigious international bank with a long history of providing corporate banking solutions to businesses and to large local companies, financial institutions and multinationals. We look for talented, tenacious individuals who are hungry to progress and eager to grow their knowledge.

Your Application

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Values and Diversity

Dynamic working gives everyone at our client the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager. They are an equal opportunity employer and are opposed to discrimination on any grounds. It is the policy of our client to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.