Associate Director, Compliance Services

Job Responsibilities:

• Manage the day-to-day compliance operations for a diverse portfolio of licensed entities, including fund managers, broker-dealers, and payment service providers
• Provide expert guidance on complex regulatory matters, particularly related to licensing and regulatory inquiries
• Manage compliance projects to ensure timely completion and adherence to requirements
• Serve as the subject matter expert on regulations governing Hong Kong's financial institutions
• Participate in business development meetings and calls where required to provide product/service knowledge.

Job Requirements:

• Minimum 5 years of experience in regulatory compliance, either within a regulator, regulated firm, or consultancy
• Strong technical expertise in compliance, with a deep understanding of SFC regulations
• Familiarity with building compliance policies and procedures tailored to various business models in the financial services industry, particularly asset management
• Excellent communication skills with fluency in English, Cantonese, and Mandarin
• Team-oriented mindset, and a proactive, meticulous approach to problem-solving