Officer, Monitoring and Testing, Compliance
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Before you apply
LocationHong Kong
Work modeon-site
Typefull-time
SeniorityMid
Experience3+ yrs
Company size1,001–5,000 people
PostedSep 17, 2026 · 1mo ago
Verified live1d ago
At a glanceSummarised by Seekless from the posting.
Bachelor's degree and above in relevant field
Minimum 3 years within a securities / investment banking firm or big four / consulting firm or regulatory body, in a compliance testing or internal audit capacity
Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA)
Strong communication and interpersonal skills
Excellent command of / fluent in both spoken and written English, Cantonese, and Mandarin
Working relationships and experience with local regulators will be highly regarded
Responsibilities
Key Areas of Responsibilities
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Conduct Compliance Monitoring and Surveillance reviews to assess firm’s ongoing compliance with Key Regulatory Requirements;
•
Participate to in-depth reviews of compliance risks and controls in accordance with the Compliance Testing plan;
•
Prepare Regulatory Reporting including large shareholding reporting, short position, takeover code, or the bank holding company act;
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Participate to transaction approval process by reviewing transactions against a set of compliance criteria;
•
Review electronic communications alerts as part of the e-com surveillance program;
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Assist in responding to regulatory queries;
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Report information to management, update incident log and employee conduct breach log
•
Assist in ad-hoc tasks as needed within the team
Requirements
Requirements
•
Bachelor’s degree and above in relevant field
•
Minimum 3 years within a securities / investment banking firm or big four / consulting firm or regulatory body, in a compliance testing or internal audit capacity.
•
Sound knowledge of Hong Kong markets and investment banking related regulatory requirements (SFC / HKMA).
•
Strong communication and interpersonal skills
•
Excellent command of / fluent in both spoken and written English,Cantonese, and Mandarin
•
Working relationships and experience with local regulators will be highly regarded
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