Junior Regulatory Compliance
Full-time
Junior Executive
10 months ago
Assist in tracking regulatory rules changes in APAC and help managing the SFC, JFSA, MAS, ASIC and other regulators’ calendars (consultation papers,..
- Assist in tracking regulatory rules changes in APAC and help managing the SFC, JFSA, MAS, ASIC and other regulators’ calendars (consultation papers, regulatory updates/changes implementation date etc).
- Assist to conduct research relating to basic regulatory topics
- Assist in distributing client alerts.
- To understand the FRR rules in Hong Kong and help prepare a first draft of Financial Resource Rules (“FRR”) Form of Licensed Corporations (“LC”) as per SFC regulatory requirements.
- Assist with preparing draft regulatory disclosures for clients for client review and approval.
- Prepare first draft of compliance reports for clients based on information provided by Regulatory Compliance case managers.
- Updating and monitoring of compliance registers for ongoing compliance support clients.
- Distributing notification reminders about changes in particulars and regulatory filings to the ongoing compliance support clients
- Maintaining and sharing of the industry training calendar to the Reg Com team.
- Assisting with research on clients and prospects.
- Collecting and checking on completeness of KYC documents from clients to assist client onboarding.
- Assists in administrative tasks for Regulatory Compliance training team.
- Maintain files and records in a proper and organized manner.
- Perform ad hoc support and other duties assigned.
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