Compliance Analyst
Kroll
full-time
Posted on:
Location Type: Hybrid
Location: Hong Kong • Hong Kong
Visit company websiteExplore more
About the role
- Managing a portfolio of clients regulated by the SFC and other global regulators
- Drafting compliance manuals and other compliance documentation for clients
- Establishing and maintaining the compliance infrastructure for clients
- Undertaking periodic compliance monitoring reviews at client premises
- Prepare and refine audit procedures for the conduct of audit engagements/projects across APAC
- Execute audit procedures to assess, design and operating effectiveness of internal controls
- Prepare written audit reports by drafting audit issues and recommendations on the review results of audit engagements/projects
- Drafting and/or reviewing regulatory reports and returns
Requirements
- Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
- Good understanding of the financial services industry i.e. asset management and broking sectors
- Strong English oral and written communication skills
- Risk tolerant and comfortable in a rapidly changing environment
- Legal or audit background would be useful
- Excellent written and verbal communication skills that help represent diverse communities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance documentationcompliance infrastructurecompliance monitoringaudit proceduresinternal controlsaudit reportsregulatory reports
Soft Skills
oral communicationwritten communicationrisk toleranceadaptability