Job Responsibilities: 

• Support business to manage any legal, compliance, operational risk and reputational risk issues. 
• Ensure the business to comply with any internal policy and relevant regulatory requirements (e.g. HKMA SPM TB-1, ST-1 and SA-2 etc.) as well as any implementational work. 
• Support business to identify its key risks and ensure that relevant controls are in place to mitigate these risks. 
• Conduct risk and control assessments (RACA), perform control tests and ongoing monitoring.
• Provide annual review on key risk indicators (KRI) and ensure the monthly KRI to be reported on timely basis. 
• Participate in the product development, review and provide comment on product due diligence documents.
• Coordinate the implementation of information security control and business continuity plan.

Job Requirements:

• 1 - 3 years or above experience with custody / risk management / compliance. 
• Overall understanding and knowledge about various markets and investment instruments.
• Good understanding of product life cycle in custody. 
• Good understanding of regulatory and compliance requirements. 
• Strong interpersonal, communication and co-ordination skills to work with the team.
• Meticulous with details; diligent and efficient in follow-through.
• Able to work effectively under pressure arisen from workload and time constraints.
• Good command of both verbal and written English and Chinese, Fluency in Mandarin is preferred.