Compliance Officer

The responsibilities associated with this role are expected to include but not limited to:

• Provide compliance advisory services to management, business and functional units in relation to UK and EU regulatory regimes
• Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date
• Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to
• Monitor business activities and put in place specific measures as necessary
• Monitor UK and EU regulatory developments relevant and applicable to the firm and provide impact analysis, work on projects to implement any changes that may be required
• Ensure that the AML systems and controls meet regulatory requirements and are complied with
• Ensure that the firm complies with the capital requirements under CRD/CRR and IFPR
• Handle conflicts of interest analysis and management
• Work on compliance operations such as gifts and entertainment registration, personal account dealing and outside business interests approval, handle KYC and client due diligence etc. that may be required
• Prepare internal reports and management information, assist on filing regulatory reports
• Assist on developing and delivering staff training

Experience

• Minimum 5 years of relevant UK/EU compliance experience in an investment bank or securities firm
• Experience in relation to securities brokerage and corporate finance preferred
• Experience and good understanding of CRD/CRR and IFPR implementation preferred
• Familiar with relevant EU and UK regulatory rules applicable to FCA regulated activities

Skills and Abilities

• A self-starter with keen initiative and excellent interpersonal skills
• A professional with high integrity
• Able to work with a minimum level of supervision
• Strong analytical and evaluative skills, attentive to details
• Good communication skill and a good team player
• Chinese language abilities are desirable
• Good understanding of EU/UK regulatory issues and developments
• General broad understanding of financial products, brokerage and investment banking services

Qualifications

• University degree in law, economics and accounting/finance disciplines
• Qualified lawyer or law degree holder desirable but not essential