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Compliance Associate, 6 months maternity coverResource Solutions Consulting Hong Kong Limited
  • Not Specified
  • Salary provided
  • Posted on 08 Mar 2019
Compliance Associate, 6 months maternity coverResource Solutions Consulting Hong Kong Limited
Job Highlights
  • Work for a well-known, award-winning organization
  • Competitive salary and benefits
  • Compliance background
Job Description

Our Top Tier Corporate and Investment Banking client, is looking for an experienced Compliance Licensing Associate to cover a 6 months maternity leave.


The team is looking for an individual who has solid experience in the area of Licensing compliance gained within a banking/finance environment. However, legal secretaries who had significant exposure to this function for financial services clients will also be considered.


Key Responsibilities

  • Adopt and deploy licensing regulatory requirements within BNPP o Handle SFC and HKMA licensing and regulatory appointment matters
  • Track status for licensing examination and CPT o Manage returns and notifications to SFC and HKMA
  • Advice on licensing matters on country level
  • Handle business and business advisory compliance's enquiries relating to licensing o Liaising with Regulatory Office on complicated licensing matters when dealing with SFC and HKMA
  • Implement controls and key reporting indicators o Contribute to the permanent control framework
  • Conduct control testing to ascertain accuracy and completeness of the licensing records, and compliance with applicable licensing requirements
  • Prepare control testing and other related key indicator reports
  • Run the annual fit and proper declaration process
  • Manage the relationship with regulators
  • Handle SFC and HKMA licensing related regulatory reporting (e.g. incident reporting)
  • Handle licensing related requests and queries from SFC and HKMA


  • University graduate with major in Business Administration / Law / Finance / Accounting / Economics (or equivalent)
  • 3-5 years in compliance or relevant experience within a legal environment
  • Work well with people and under pressure
  • Attention to details and have strong communication skills
  • Experience in financial sectors is not mandatory but preferred

About Our Client

Our client is a prestigious international bank with a long history of providing corporate banking solutions to businesses and to large local companies, financial institutions and multinationals. We look for talented, tenacious individuals who are hungry to progress and eager to grow their knowledge.


Your Application


To be considered for this role, click below to apply.


Values and Diversity


Dynamic working gives everyone at our client the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager. They are an equal opportunity employer and are opposed to discrimination on any grounds. It is the policy of our client to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

Additional Information
Career Level
Years of Experience
Not Specified
Employment Type
Contract, Full Time
Company details

Resource Solutions is a provider of recruitment process outsourcing (RPO) solutions. Part of the Robert Walters Group, we have delivered these solutions to leading organisations since 1997. We constantly manage a recruitment budget of over £650 million on behalf of our clients, hiring more than 16,500 employees for them each year. Our business has considerable resources at its disposal, operating from a network of 53 offices in 24 countries. We work in partnership with organisations, managing everything from global accounts with demanding resourcing strategies to single sites with low recruitment volumes. As one of the original pioneers of RPO, we have a vast amount of industry expertise. This is reflected in our client portfolio, which includes everyone from major blue-chip companies to small and medium size enterprises.