Our client is one of the top tier private banks with extensive coverage in the world. They provide equity and debt underwriting, corporate lending and project financing, merger and acquisitions advisory services, securitization, treasury management, market risk management, debt and equity research and institutional sales and trading.
They are looking for a legal and compliance officer to join their compliance team to handle compliance advisory, monitoring, regulatory reporting as well as support China's compliance team to facilitate the regulatory control functions.
Market entry licensing and applications
Ad hoc regulatory survey coordination and response:
Compliance regulatory reporting: understand the bank's obligation in terms of regulatory reporting and be responsible for the compliance owned regulatory reporting coordination, preparation, review, response, and etc.
Support the whole compliance China team in the record keeping, department SharePoint maintenance, regulatory platform access control and maintenance, team meeting coordination, etc.
Various regular internal reporting, compliance alert, etc.
PTA and CTCC information collection, training and monitoring
Client complaint handling
Assist to facilitate external regulatory on-site inspections arrangements
Provide legal entity compliance advisory, monitoring and testing support
Provide compliance monitoring and testing support to line of business and corporate support functions
Assist Head of Compliance to set up offshore investment banking or control group compliance infrastructure and other assignments
Bachelor degree with economics, finance, laws, etc.
Above 5 years working experience with strong knowledge in capital financial market including banking industry, firms, etc. Solid knowledge of China banking industry and related regulatory governance
Good communication skill and can maintain good working relationship with others
Strong planning, coordination and organizational skills
Ability to work under pressure and meet dynamic deadlines and priorities
Work independently under minimal supervision
Good team work spirit and willing to help others to achieve their target
Fluent spoken English with excellent written skills in both English and Chinese
Internal Number: 5418468
About Morgan McKinley Hong Kong
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