Senior Regulatory Compliance Role

Job Duties:

1. Liaise with regulators on new business/products, compliance matters and handle regulatory inspections and enquiries

2. Planning, developing and designing the annual compliance review programme

3. Perform compliance review or self-assessment on selected areas of operations

4. Maintain the daily working relationship with regulators in compliance,organize to track and evaluate the implementation of regulatory opinions and regulatory requirements, and be responsible for coordinating and completing various reports

5. Prepare and coordinate with overseas offices to prepare various periodic Compliance reports for management and Headquarters

6. Maintain general compliance administrative record keeping and prepare regular compliance monitoring reports, and to provide assistance in all internal and external inspections, audits or reviews

7. Maintain the compliance training programme; monitor and keep record of staff training and staff dealing matters in accordance with internal compliance requirements

8. Coordinate with other overseas offices on general compliance issues and dissemination of key Compliance information

Requirements:

1. Degree holder of reputable university

2. Minimum 10 years of experience in Compliance, Legal, Audit, Risk Management or regulators, with exposure in securities brokerage, sales &trading and investment banking industry

3. Well versed with relevant Hong Kong securities industry regulatory requirements and market practices

4. Firsthand experience in interacting with regulators and experience in team management preferred

5. Mature, thoughtful, strong analytical and problem solving skills with an aptitude for technology

6. Proactive and strong team player

7. Strong project management and interpersonal, coordination and communication skills

8. Bilingual with proficiency in both Chinese (Mandarin) and English languages. Good verbal and written presentation skills, prefer native Mandarin speaker