Specialist, Licensing (8 Months Fixed Term Contract)

Job Description: 

RESPONSIBILITIES

•    Provide HKMA and SFC licensing-related advisory (e.g. registration, competence and fit and proper requirements).
•    Liaise with business and other counterparts for arranging application and cessation in relation to HKMA Executive Officer & Relevant Individual/ SFC Responsible Officer & Licensed Representative. 
•    Assist to arrange appointment/cessation/change of senior regulatory appointments (including HKMA S72B Manager, Appointee under Management Accountability, SFC Managers-in-Charge).
•    Assist to file statutory notification in relation to corporate licensing.
•    Keep track on staff’s movement and change of personal particular to file necessary regulatory notification.
•    Maintain headcount database for regulated staff and perform weekly reconciliation. Share licensing data to other counterparts for MI purpose.
•    Keep track on licensed staff’s CPT completion status, formulate CPT report and ensure CPT records are properly retained.

•    Follow up on staff HKSI licensing examination status.
•    Monitor staff’s cross border travel and provide advisory on relevant cross boarder requirement. Arrange temporary HKMA Relevant Individual license for overseas staff if needed.
•    Assist in updating licensing related policy/ process documents. Propose enhancement to the current licensing process to reduce operational errors or increase efficiency.

•    Conduct compliance testing to identify compliance weakness.
•    Conduct annual Fit and Proper attestation for the regulated roles.
•    Handle ad-hoc projects and others tasks as assigned.
•    This role will move to first line upon business’ agreement.

Other Responsibilities
•    Embed Here for good and Group’s brand and values in Regulatory and Conduct Risks & Oversight, HK Team.
•    Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Qualifications

•    Academic or Professional Education/Qualifications:  Bachelor in Law / Finance / Accounting / Business or related disciplines
•    Languages:  Fluent English and Cantonese both oral and written
•    Good analytical, reporting writing and methodical skills