Analyst/Associate, Compliance Advisory and Regulatory Management, Internal Contr

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 Please apply in strict confidence with full resume, academic record, current and expected salaries; The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months; 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.