Licensing and Compliance Specialist
6 days ago
The candidate will support the Legal, Regulatory and Compliance Department (“LCD”) and reports to the Chief Regulatory Officer.
Key Duties and Responsibilities
- Develop and strengthen the compliance culture in APEX and related entities
- Conduct the licensing application process for fund management
- Support other related functions undertaken by LCD
Requirements:
- University degree from reputable institutions.
- At least 3 years’ relevant working experience in derivatives trading compliance or derivatives trading surveillance, with a strong focus on the financial services industry.
- Team player with good writing, communication and interpersonal skills, including excellent Chinese proficiency.
- IT literacy and ability to work with large datasets are preferred.
- Deep understanding of relevant regulatory frameworks and licensing requirements
Tell employers what skills you have
Licensing
CAPA
Derivatives
Trade Fund Management
Supplier Quality
Literacy
Interpersonal Skills
Surveillance
Biology
Transaction Banking
Compliance
Audit Management
Writing
Audits
Team Player
Regulatory Requirements
regulatory frameworks
Financial Services
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