About the Position
We are looking for an Employee Compliance Specialist to be the main point of contact in administering various employee compliance requirements in our Hong Kong office. Our team is growing, and your participation will significantly shape this role and our team processes as we expand.
The right person will enjoy both working with people and thinking about systems. You should be able to answer questions and explain processes clearly to a wide range of colleagues across the firm and external parties, and work well with others to implement and improve our compliance processes. Responsibilities of this role will include:
- Administering the Personal Account Dealing Policy, managing new hire disclosures, answering queries and appropriately handling breaches
- Identifying processes in need of improvement and designing and implementing solutions
- Working with third-party vendors to maintain and improve various tools
- Managing SFC license application and ensuring SFC-licensed staff meet relevant ongoing obligations (e.g., facilitating CPT program implementation, coordinating annual return submissions)
- Monitoring employee e-communication and phone recordings
- Coordinating and monitoring the compliance training program, and maintaining internal and external records across all employee compliance areas
This role sits within our Legal and Compliance team, a dedicated group of professionals who share a deep understanding of the law, a meticulous commitment to regulatory protocol, and a passion for protecting our colleagues as they focus on their daily work.
About You
- Undergraduate degree and 1-3 years of relevant experience in the finance industry
- Proactive, courteous, and flexible team player
- Strong organizational, communication and interpersonal skills
- Enthusiastic about evaluating processes, proposing improvements, and managing those projects from start to finish
- Eager to learn about new technology and vendor systems, and able to communicate effectively with the relevant support teams
- Mature, professional, and trustworthy; shows excellent judgement with sensitive information
- Experience with employee compliance is preferred
- Fluency in Chinese and English required
