About the Role
A leading global brokerage firm is seeking a Regulatory Compliance Manager to join its Hong Kong office. This role will support the APAC compliance function and ensure adherence to local regulatory requirements while partnering closely with the regional compliance head.
Key Responsibilities
- Oversee regulatory compliance for Hong Kong operations, ensuring alignment with SFC and other relevant regulations.
- Act as the primary contact for regulatory inquiries, inspections, and reporting.
- Advise business units on regulatory developments and provide practical compliance solutions.
- Collaborate with APAC compliance teams to implement regional initiatives and maintain robust compliance frameworks.
Requirements
- 5-10 years in compliance within financial services (brokerage, trading, or securities preferred).
- Strong understanding of Hong Kong regulatory landscape; ability to interpret regulations and advise on implementation.
- Articulate, presentable, and confident in engaging with regulators and senior stakeholders.
- Ability to work independently and communicate effectively with regional teams.
