Compliance & Controls Officer, Equity Capital Markets Hong Kong
Hong KongFinance
About the role
FinEx AI summary
Provides compliance advice and monitors regulatory risks for the Equity Capital Markets group, working with Central Compliance and business units. Oversees licensing filings, compliance training, and internal monitoring such as grey/blackout lists and RCSA. Coordinates with regulators including the SFC and SEHK.
Core skills
Regulatory ComplianceSFC RegulationsSEHK RegulationsCompliance MonitoringCompliance Policies and ProceduresCompliance Training
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