Job Description

This leading financial services company is seeking an experienced business advisory compliance professional to join a small team to focus on fintech and retail/private wealth management businesses. This key role will:


• Liaise with the SFC and other regulatory bodies, including handling regulatory investigations, inquiries and complaints, preparing compliance reporting to regulators and coordinating regulatory onsite/offsite reviews
• Provide practical advices to business units on laws, rules and regulatory requirements to support the ongoing operations and future development of the businesses
• Establish and maintain Compliance policies and procedures to ensure compliance with regulatory requirements
• Provide regular training to colleagues on regulatory and internal policy requirements
• Review new product initiatives and provide compliance advices about regulatory/licensing requirements, and obtain regulators approval as required before the rollout of the new services

Qualification:

To qualify, you need to have a University degree or above from top ranked universities with:

• Minimum 8 years of internal audit/compliance review/regulatory compliance experience, with exposure to investment banking/ securities industry operations
• Knowledgeable about relevant regulations and market practices applicable to securities firms
• Hands-on experience in interacting with regulators
• Adept to provide practical solutions and tech savvy
• Strong team player with strong interpersonal and communication skills
• Bilingual with proficiency in both Chinese (Mandarin) and English languages
• Knowledge in virtual asset and virtual asset related products and the relevant regulatory requirements would be advantageous