Officer, Monitoring and Testing, Compliance
Core
Conduct compliance monitoring, surveillance reviews, and regulatory reporting for a securities/investment banking firm.
Role type
Compliance Officer (Monitoring and Testing)
Domain
Financial Services / Investment Banking / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Compliance monitoring, regulatory reporting, transaction approval review, e-com surveillance, risk assessment, regulatory query response, incident logging
Preferred skills
Experience with local regulators, knowledge of Hong Kong markets
Technologies
None stated
Responsibilities
Conduct compliance monitoring and surveillance reviews, participate in compliance risk reviews, prepare regulatory reports, review transactions against compliance criteria, review electronic communications alerts, respond to regulatory queries, report to management and update logs