Responsibilities: 

Reporting to the Head of Core Compliance-APAC, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including:

• Being the primary liaison to the SFC exchanges and other regulatory bodies;
• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
• Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;
• Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulator reasons;
• Drafting and implementing firm policies and written supervisory procedures;
• Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the appropriate remedial action plans to address any findings.

 

Required Qualifications and Skills:

• Must be a self-starter with strong analytical skills and able to work collaboratively;
• Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment;
• The ability to manage a small team and take ownership of projects and tasks with minimal supervision;
• Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
• Familiarity with the Hong Kong regulatory process, rules and codes;
• Possess a “can do” attitude and willingness to learn;
• Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;
• Fluency in English and Cantonese (both written and spoken) is essential.

 

Company Benefits & Perks

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits, including medical, dental, specialist and in-patient 
• Competitive package of Annual Leave
• Daily lunch is ordered in-house with a fully stocked kitchen
• Modern offices with multi-monitor setups
• Great work-life balance
• Unique opportunity to gain exposure to global financial products, markets and clientele
• Opportunities for career progression and job scope expansion in a global company with a growing local presence
• Hybrid work arrangement role permitting