Central compliance, AD

Responsibilities include managing regulatory inquiries, supervising reporting, providing SFC licensing guidance.

What you'll do:

• Manage and respond to inquiries from regulatory bodies concerning investigation requests, trade-related matters, information demands, business inquiries, and inspections, acting as the primary liaison with regulators
• Supervise the team in handling statutory regulatory reporting under the Securities and Futures Ordinance (SFO), including Disclosure of Interests and Short Position Reporting
• Provide advice on SFC licensing/Manager-In-Charge requirements
• Support business units and back offices on compliance issues
• Update and maintain compliance policy and procedure manuals
• Assist in ad hoc projects on new regulatory changes/development and business related projects
• Ensure day-to-day BAU is carried out effectively and efficiently, revamping internal work-flow where necessary
• Supervise the team in handling FATCA/CRS reporting

Requirement:

• A university degree holder in Finance or related discipline
• 8-10 years’ compliance exposure in dealing with enquiries from the SFC on enforcement, intermediaries supervision and licensing issues is advantageous
• Proven team management experience
• Sound knowledge in SFO and HKEX rules
• Proficiency in financial products knowledge
• Proficiency in using Microsoft Office
• Fluency in both written and spoken English and Chinese; fluency in Putonghua is essential