Part of the team responsible for handling regulatory requests such as SFC S181 and conducting FCC related investigations for the Private Banking and Investment Banking businesses for the Bank in APAC. Liaise with relevant partners and authorities for response on regulatory requests and suspicious transaction reporting. In this role, you will report into the Hong Kong Team Lead of FCC Investigations.
. Handle regulatory requests as the primary contact for SFC S181 enquiries and ensure deadline is strictly met
. Follow up on queries from regulator and monitor progress to ensure timely response to regulator
. Liaise with partners such as Business, Legal and Compliance Coverage teams in preparation on response to the regulator
. Perform in-depth analysis following a regulatory request, taking into account internal surveillance alerts and market information to identity potential market misconduct red flags
. Undertake investigations into potential suspicious activity reported by staff or triggered from surveillance alerts, production orders, regulatory requests, media monitoring etc.
. Where reasonable suspicion is formed, recommend and prepare the appropriate Suspicion Transaction Report for concurrence from the MLRO or delegate and submit to the applicable local authorities
. Follow through on end-to-end process including post filing such as client retention recommendation, addition of names to watch lists and other risk mitigation measures
. Manage stakeholders’ enquiries and advise accordingly
. Prepare and deliver regular MI report for senior management
. Update policies or procedures for the FCC investigation framework as needed
. Support Hong Kong Team Lead of FCC Investigations in handling any applicable audit or inspections
. Any other tasks assigned by the manager
Your future colleagues
We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values.
Your skills and experience
To excel in this role, you should possess below qualification and skills:
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