Regional Regulatory Affairs – New York – ECC47151

New York
Posted 7 years ago

Job Summary & Responsibilities

Are you interested in gaining regulatory and compliance knowledge across Asia Pacific Ex Japan (“APEJ”), implementing regulatory projects within the firm (in particular Hong Kong),  building relationship with regulators, and working closely and partnering with people across different divisions and countries on regulatory matters within ECC?  We are looking for a Compliance officer to join our Compliance team who wants to use their skills to drive regulatory initiatives in APEJ.

Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. You’ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

This Analyst / Associate level position is an integral member of the Regulatory Affairs team. This position focuses on (i) general regulatory affairs and (ii) HKMA-related matters.  A core function of this role is to closely work with Compliance colleagues and Business & Federation teams across APEJ, on regulatory, compliance and other matters.

Regulatory affairs function:
•Co-ordinate with cross-divisional colleagues to drive regulatory initiatives and efforts in APEJ
•Track regulatory interactions, regulatory updates and regulatory focuses in APEJ
•Assist in the implementation of projects resulting from regulatory requirements in Hong Kong
•Closely co-ordinate with compliance officers across different divisions and regions on regulatory and other issues

Compliance responsibility for HKMA matters
•Coordinate responses to HKMA inquiries, liaise with HKMA on compliance issues, and maintain firmwide correspondences with HKMA
•Review, assess and disseminate HKMA circulars, consultations and other regulatory updates
•Provide compliance-related guidance and training to staff
•Closely coordinate with Business and Federation units on compliance matters

•Excellent team work and interpersonal skills
•Excellent organizational skills
•Attention to detail and thoroughness of execution
•Ability to identify and balance commercial considerations with regulatory and legal risk
•Ability to demonstrate initiative and commitment combined with values reflecting personal integrity and ethics
•Strong analytical and judgment skills
•Excellent communication skills, written and verbal, in English and in Chinese
•Minimum 2 to 3 years’  experience in compliance, legal, regulatory, audit or operational support areas of investment banks or securities firm

•Consulting, accounting firms and regulatory background will be considered.


Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.

Job Features

Job CategoryCompliance
Job TypeFTE
Job LocationNew York

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