Duties:
- Analyse regulatory requirements and translate those requirements into compliance rules in the firms' compliance systems;
- Handle licensing/regulatory applications and regulatory filings required by SFC, SEC, NFA etc and ensure timely submission thereof;
- Conduct compliance review, monitoring and testing on a variety of areas including insider trading, personal trading, gifts and entertainment, vendor and broker due diligence;
- Process KYC requests for broker account opening on an ad-hoc basis;
- Perform other ancillary tasks as required by the firm from time to time.
Requirements:
- Minimum 3 years of experience working in Compliance at buy-side firms;
- Excellent ability to interpret regulatory rules
- Detailed-oriented, organized and adaptable, and great ability to multi-task and handle time-sensitive requests;
- Mandarin speaking skills preferable but not a must