Analyst/Associate, Compliance Advisory and Regulatory Management, Internal Control and Legal & Compliance

Analyst/Associate, Compliance Advisory and Regulatory Management, Internal Control and Legal & Compliance

Job Reference BOCI00997 Contract Type Permanent Division Internal Control and Legal & Compliance Job Function N/A

The Role

Analyst/Associate, Compliance Advisory and Regulatory Management, Internal Control and Legal & Compliance

Key Accountabilities

• Manage SFC license applications, including new applications, notification of changes, annual returns, other regulatory filings and reporting.
• Liaise with regulators (including the SFC, Insurance Authority), manage and handle inquiries from the regulators. Coordinate with internal stakeholders to resolve regulators’ enquiries.
• Maintain and update the licensed corporates’ licensing records, registers, organizational charges to ensure accuracy and audit readiness.
• Advise internal stakeholders on licensing requirements for new hires, role changes and business changes.
• Monitor daily regulatory updates, consultation papers and circulars issued by the regulators and authorities.
• Assist in gap analysis to identify areas where internal policies need to be updated and enhanced.
• Provide preliminary compliance advice to business teams on licensing-related matters.
• Support the review and updating of internal policies and procedures to reflect regulatory changes.
• Assist in preparing compliance training materials on licensing obligations and new regulatory developments.
• Support and provide business compliance advice on regulatory interpretation and compliance issues in the business lines, including new businesses, products/ services and infrastructure initiatives from regulatory compliance, governance and best practice perspective.
• Support and handle internal reporting and projects assigned by the Head Office。
• Assist in ad hoc projects as required by team leader and management.

Skills & Experience

• Degree holder in Business, Finance, Law, or other related disciplines
• Minimum 5 years of hands-on compliance experience in securities brokerage companies/ regulatory compliance or financial institutions.
• Candidates with over 2 years of full time working experience in Hong Kong or overseas is considered as an advantage.
• Strong knowledge of SFC and Insurance Authority’s licensing requirements, guidelines and operations.
• Robust and solid understanding of SFC Code of Conducts, licensing and relevant regulatory policies and requirements
• Experience in business compliance advisory and new product/ business review is an advantage
• Proficiency in written and spoken Mandarin, English and Cantonese is a must.
• Organized and detailed-oriented.
• Excellent communication and presentation skills.
• Proactive working attitude, strong and collaborative team
• Responsible, hardworking, well-organized and able to work under pressure.

Other Information

• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.