Associate / Analyst, Central Compliance

GF Securities (Hong Kong); Hong Kong; On-site; HKD 480,000 - 700,000; Full time

Job summary

GF Securities (Hong Kong) is seeking a proactive Compliance Monitoring Analyst to assist in planning and executing monitoring programs and trade surveillance. The role involves handling regulatory inquiries, staff declarations, and preparing management reports.

The ideal candidate will have a degree in law/finance/accounting, strong analytical and Chinese writing skills, and at least 3 years of experience in compliance monitoring within financial institutions or regulators.

Qualifications

• Degree in Law/Finance/Accounting/Corporate Governance or related discipline.
• Strong self-motivation and ability to work independently in a dynamic environment.
• Strong analytical skills and Chinese writing skills, particularly formal Chinese report drafting.

Responsibilities

• Assist in planning, development and execution of compliance monitoring program and trade surveillance.
• Perform compliance monitoring and reviews to ensure regulatory compliance and assist in drafting conclusions with recommendations.
• Handle regulatory requests such as reporting, inquiries, investigations and inspections with regulators.
• Handle staff declarations on personal account trading and outside engagement per group policies.
• Assist in preparing regular and ad-hoc compliance management reports.
• Assist in developing and implementing compliance training programs.
• Disseminate latest regulatory requirements to relevant business units and follow up on implementation plans.

Skills

Strong analytical skills

Chinese writing skills

Interpersonal communication

Independent working

Education

Degree in Law/Finance/Accounting/Corporate Governance

Job description

• Assist in planning, development and execution of compliance monitoring program, transaction reviews and/or trade surveillance
• Perform compliance monitoring and reviews to ensure compliance with applicable legal and regulatory requirements and group policies, and assist senior compliance officer in the drafting of conclusion report with appropriate recommendations on compliance issues and findings as identified
• Handle regulatory requests such as reporting, inquiries, investigations and inspections and ensure smooth, accurate and timely communication with regulators
• Handle staff declarations on personal account trading and outside engagement and carry out relevant monitoring according to the internal group policies
• Assist in preparing regular and ad-hoc compliance management reports
• Assist in developing and implementing compliance training program
• Disseminate latest regulatory requirements to relevant business and support units and follow-up with the respective units on implementation plan, if required

Job Requirements :

• Degree holder in Law, Finance, Accounting, Corporate Governance or related disciplines
• Strongly self-motivated, quick learner and able to work independently in highly dynamic environment
• Strong analytical and Chinese writing skills, in particular, formal Chinese report drafting
• Good interpersonal and communication skills
• Sound knowledge in rules and regulations administered by the SFC, HKEX and Insurance Authority (IA)
• Minimum of 3 years solid experience in compliance monitoring preferably in Chinese financial institutions or regulatory bodies (Note: Candidate with less than 3 years' experience could apply for Analyst position)
• Immediately available is highly preferred