Analyst - Compliance Control Room - Top Tier Securities Firm

Client Details

Our client is a top tier Chinese Securities firm, they are looking for a junior compliance analyst to perform control functions.

Description

• Execute Control Room functions, including research and resolve conflict, and uphold related compliance and related policies and procedures.
• Review research before publication.
• Coordinate with the front line and the deals, and provide guidance on some rules and lists
• Work closely with Compliance team members to implement policies and procedures.
• Assist in responding to compliance-related audits, regulatory requests, and internal investigations.
• Perform ad hoc tasks as requested.

Profile

• Bachelor's degree in Business Administration, Finance, Risk Management, Law, or a related field.
• More than 5 years of dedicated experience in control room compliance.
• Experience in compliance training, policy development, and conducting compliance reviews and investigations.
• Proficiency in both Chinese and English, with strong verbal and written communication skills.
• Well-organized and disciplined, capable of meeting tight deadlines.

Job Offer

• Work-life Balance
• Competitive Compensation
• Great Learning Platform

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Natalie Choi on +85225306106.