Job Overview:
We are looking for a seasoned Senior Compliance Manager to join our dynamic team at a prestigious Chinese investment bank in Hong Kong. This role is pivotal in ensuring our operations comply with regulatory standards and involves direct interaction with key regulatory bodies such as the Securities and Futures Commission (SFC) and the Hong Kong Exchanges and Clearing Limited (HKEx).
Key Responsibilities:
- Serve as the main point of contact for SFC and HKEx, managing all regulatory communications and investigations.
- Design and enforce compliance policies and procedures to align with local and international regulations.
- Lead and mentor a team of compliance officers, fostering a culture of compliance and ethical conduct.
- Conduct thorough compliance audits and reviews to identify potential risks and implement corrective actions.
- Collaborate with internal departments to ensure seamless compliance with regulatory requirements.
- Develop and deliver compliance training programs to educate staff on regulatory changes and best practices.
- Stay abreast of regulatory developments and industry trends to proactively manage compliance risks.
Qualifications:
- Bachelor's degree in Finance, Law, Business Administration, or a related discipline.
- Over 7 years of experience in compliance within the financial services sector.
- In-depth knowledge of Hong Kong regulatory frameworks and international compliance standards.
- Demonstrated experience in managing regulatory investigations and maintaining relationships with regulatory authorities.
- Strong leadership and team management skills.
- Excellent analytical, problem-solving, and decision-making abilities.
- Superior communication and interpersonal skills.
- Fluent in both Chinese and English.
