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 grantExcellent health and welfare benefits, including medical, dental, specialist and in-patientCompetitive package of Annual LeaveDaily lunch is ordered in-house with a fully stocked kitchenModern offices with multi-monitor setupsGreat work-life balanceUnique opportunity to gain exposure to global financial products, markets and clienteleOpportunities for career progression and job scope expansion in a global company with a growing local presenceHybrid work arrangement role permitting