AVP - VP, Compliance Advisory

A prominent Chinese securities firm in Hong Kong is looking for an experienced Compliance Advisory candidate to join the team.

Responsibilities

• Maintain daily interactions with SFC and other regulatory bodies, managing investigations, inquiries, and complaints, and preparing compliance reports.
• Provide practical advice to support ongoing operations and future business development in alignment with applicable regulations and expectations.
• Establish and maintain compliance policies and procedures to ensure operations are consistent with regulatory requirements.
• Track developments in relevant laws and regulations, providing analysis and updates to senior management.
• Conduct workshops and training sessions to ensure staff and management are informed of the latest regulatory and internal policy requirements.
• Assess new business and product initiatives for compliance with regulatory requirements, securing necessary approvals before roll out.
• Manage additional compliance tasks as assigned by the Head of Regulatory Compliance.

Requirements

• Degree holder with at least 8 years of experience in internal audit/ compliance review/ regulatory compliance/ compliance advisory experience.
• Good knowledge of relevant regulations and market practices in investment banking and securities industry operations.
• Hands-on experience in interacting with regulators and other regulatory bodies.
• Knowledge in virtual asset and virtual asset related products and the relevant regulatory requirements would be a plus.
• Bilingual with proficiency in both Chinese (Mandarin) and English.