Compliance & Controls Officer, Equity Capital Markets Hong Kong
Core
Provide compliance advice, implement monitoring programs, and ensure regulatory adherence for the Equity Capital Markets team in Hong Kong.
Role type
Senior IC compliance officer (equity capital markets)
Builds
Compliance policies, monitoring review programs, and training for the Equity Capital Markets Group
Domain
Financial services / Equity Capital Markets / Hong Kong regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory knowledge (SFC, SEHK, HKFE), compliance policy development, internal control framework design, compliance training delivery, regulatory liaison, risk monitoring (RCSA, Internal Audit), financial process oversight
Preferred skills
Experience in SFC licensed corporations, banking or audit firms, driving change
Technologies
None stated
Responsibilities
Collaborate with Central Compliance to provide timely advice; Keep teammates informed of regulatory updates; Establish and implement compliance policies; Develop compliance monitoring review programs; Assess and conduct compliance training; Act as interface with regulatory authorities; Manage licensing, registrations, and filings; Monitor controls and operational risks (RCSA, Internal Audit); Provide coverage on accounting and financial processes
Seniority
Mid-Senior, hands-on IC