CLIENT BACKGROUND
Our client is a leading financial institution in Hong Kong, committed to maintaining robust compliance and surveillance standards. They are seeking an experienced compliance professional to strengthen their monitoring and investigation capabilities.
JOB RESPONSIBILITY
- Manage SMARTS alerts and conduct in-depth investigations into potential market misconduct.
- Lead a small team (2-3 members) to perform compliance reviews and ensure regulatory adherence.
- Handle SFC investigation enquiries under 1A1 and 1A2 (including sections 181 and 182).
JOB REQUIREMENTS
- Minimum 8 years of compliance experience within the investment banking/securities industry.
- Strong knowledge of Hong Kong regulatory framework and SFC requirements.
- Proven leadership skills and ability to manage small teams.
- Excellent communication skills in English, Cantonese, and Mandarin.
