About the Position
We are looking for an Employee Compliance Specialist to act as a point of contact in administering various employee compliance requirements in our Hong Kong office. You should be able to answer questions and explain processes clearly to a wide range of colleagues across the firm and external parties, and work well with others to implement and improve our compliance processes.
Additional responsibilities of this role will include:
- Administering the SFC licensing process and trader registration processes with various third parties
- Administering the Personal Account Dealing Policy, answering queries and appropriately handling breaches
- Coordinating and monitoring our Continuous Professional Training (CPT) programme, including working with stakeholders to create learning content
- Identifying employee compliance-related policies and processes in need of improvement and designing and implementing those improvements
- Working with third-party vendors to maintain and improve various tools
- Managing the full SFC “Manager-in-Charge” (MIC) registration and exchange registration processes for certified persons
- Creating management information to be shared with MICs and other stakeholders
This role sits within our Legal and Compliance team, a dedicated group of professionals who share a deep understanding of the law, a meticulous commitment to regulatory protocol and a passion for protecting our colleagues as they focus on their daily work.
About You
- Have an undergraduate degree and at least 5 years of relevant professional experience in employee compliance (in particular, SFC licensing requirements)
- A proactive, courteous and flexible team player
- Organised with strong communication and people skills
- Mature, professional and trustworthy; show excellent judgement with sensitive information
- Motivated self-starter who can handle competing priorities and work effectively in a challenging, fast-paced environment
- Have excellent attention to detail
- Fluent in English and spoken/written Chinese (Cantonese and/or Mandarin)
If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com.