Our client is a SFC-licensed leading global comprehensive trading platform for both individual and institutional clients with access to global markets.
Responsibilities - Communicate with regulatory bodies to ensure compliance and address inquiries.
- Research and interpret regulations applicable to brokerage operations in the region.
- Draft and implement internal policies to meet regulatory requirements.
- Draft responses to regulatory inquiries and concerns.
- Manage regulatory inspections and audits, developing action plans to address any findings.
Requirements - Degree holder with at least 4 years of experience relevant experience in regulatory compliance with regulatory body, exchange, or SFC licensed corporations.
- Familiar with Hong Kong and regional regulatory requirements.
- Experience in handling regulatory inspections and liaising with regulatory body is a plus.
- Fluent in written and spoken English.