Compliance Generalist - Global Financial Institution

We are working with a junior to middle level compliance role with a global leading financial institution who’s expanding their compliance function in Hong Kong.

Responsibilities:

• Responsible for compliance program, policies and procedures
• Identify, monitor, and communicate regulatory changes trends and proposals to senior management
• Review personal account dealing, conflict of interest, employee conduct, etc
• Liaise with regulators and preparing regulatory enquiries, surveys and inspections
• Implement compliance controls and tool to address gaps with global compliance framework
• Provide training for internal staffs

Requirements

• 5+ years’ experience in compliance
• Familiar with global markets/ electronic trading business related compliance
• Hands-on experience handling general or regulatory compliance