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.
