Compliance Officer, Central Compliance | 人才服务办公室

职位描述

• Manage SFC licensing processes for employees, ensuring compliance with regulatory requirements.
• Oversee Personal Account Dealing (PAD) activities to prevent conflicts of interest and insider trading.
• Monitor outsourcing arrangements to ensure they meet regulatory standards and internal policies.
• Coordinate regulatory reporting activities, including submissions to relevant authorities.
• Develop and deliver compliance training programs to educate employees on relevant regulations and internal policies.
• Conduct regular reviews of employee compliance with regulatory requirements and internal policies.
• Investigate and address any instances of non-compliance, escalating issues as needed.
• Collaborate with HR and other departments to ensure alignment of employee compliance practices.
• Stay updated on regulatory changes and industry best practices related to employee compliance.

Qualifications:

• Bachelor's degree in Finance, Business, or related field.
• 3-5 years of experience in compliance within a global financial institution.
• Knowledge of SFC WINGS is an advantage
• Excellent communication skills with the ability to interact with stakeholders at all levels.
• Strong attention to detail and ability to work under pressure in a fast-paced environment.
• Professional certifications in compliance or related fields are a plus.