CLIENT BACKGROUND
Our client is a well-established financial institution in Hong Kong, recognized for its strong compliance culture and commitment to regulatory excellence. They are looking for a seasoned compliance professional to lead a small team and strengthen their Secondary Market Compliance team.
JOB RESPONSIBILITY
- Oversee advisory and monitoring activities within the Secondary Market Compliance team, acting as part of the second line of defense.
- Manage and mentor a team of 2-3 compliance professionals, ensuring timely and accurate reviews of regulatory requirements.
- Utilize SMARTS or similar trade surveillance systems to monitor trading activities and detect potential market misconduct.
- Conduct investigations and respond to SFC inquiries, including handling 1A1 and 1A2 requests.
- Provide regulatory updates and interpretations to business units, ensuring compliance with Hong Kong standards.
- Deliver compliance training and recommend process improvements to mitigate risks.
- Advise on new products, services, and marketing materials to ensure regulatory alignment.
- Liaise with regulators, auditors, and internal stakeholders on compliance matters, including inspections and investigations.
- Participate in business projects and provide compliance input throughout the process.
JOB REQUIREMENTS
- Bachelor's degree in Law, Accounting, Finance, or related disciplines.
- Minimum 8 years of compliance experience within the securities industry, with strong knowledge of Hong Kong regulatory frameworks.
- Proven experience managing a small team and handling complex compliance reviews.
- Familiarity with SMARTS or similar trade surveillance tools is highly desirable.
- Strong investigative skills and experience responding to SFC inquiries (1A1, 1A2).
- Excellent communication skills in Cantonese, Mandarin, and English.
- Candidates with Enhanced Competency Framework (ECF) qualifications are encouraged to highlight this in their application.
