Employee Compliance Specialist

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

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