Compliance Analyst – Regulatory Resolutions
Hong Kong, Hong Kong

Title : Compliance Analyst Regulatory Resolutions

Background :

Our client is a leading financial services group, with world-wide operations. As leaders in their field, they are one of the most dynamic banking and financial services groups, that have utilised technology and created market-leading tools to maintain its competitive advantage.

The APAC Compliance team is seeking to enhance their regulatory complaints and regulatory responses handling team with additional talent and is seeking experienced candidates that have experiences in dealing with compliance complaints and dispute resolutions for retail, corporate and financial services clientele.

Aspiring paralegals with relevant experiences in financial services dispute handling, or a candidate with law or legal educational background with financial knowledge in securities will also be of interest.

Responsibilities :

Reporting to the Manager of Regulatory Correspondence Group and Director of Legal and Compliance, APAC. The main responsibilities for this role include :

  • Focus on complaint / dispute related regulatory correspondences
  • Assist in information gathering, conduct investigation and prepare detailed review on complaint / dispute cases
  • Assist in drafting written response to regulators and complaint authorities for IBKR entities within APAC
  • Propose resolutions to complaint / dispute cases which in line with the relevant regulatory requirements and overall business strategy goals
  • Escalate issues and work with Legal Department and Senior Management where appropriate on sensitive matter
  • Assist in court documentation and settlement agreements filing
  • Monitor in an on-going basis to ensure complaint / dispute is addressed and handled in timely and quality manner
  • Requirements :

  • University qualification in a relevant discipline - law degree preferred.
  • Sound knowledge in brokerage business with experience in complaint handling or customer service will be an advantage
  • Must be a self-starter with strong analytical skills and the ability to work at a fast pace and with deadlines to timey responses.
  • Comfort with computers and technology and understanding of how technology is applied to business and regulatory problems.
  • Strong interpersonal skills, good oral and written communication skills with a focus on finding mutually beneficial solutions for customers and the company
  • Proficiency in written and spoken English is essential.
  • Work Benefits / Work Environment :

  • Western and friendly company culture.
  • Discretionary year-end bonus.
  • Upon qualifying period Shares options
  • Great Career progression.
  • Fully comprehensive medical insurance
  • Free lunches etc
  • Please send an updated resume to : cv

    Thank you for your interest in this opportunity!

    Harbridge Partners Limited

    Employment Agency Licence : 65522


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