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