The Company
Our client is a well-established financial institution holding SFC licenses for Types 1, 2, 4, and 9, with a strong foothold in retail brokerage and Capital Market. To support their continued business expansion, they are seeking a Compliance Manager to join their Compliance team.
The Role
- Conduct regular compliance reviews and monitoring activities to ensure adherence to internal policies and external regulations.
- Deliver timely, practical, and consistent compliance guidance on business initiatives and new financial products, including risk assessment and regulatory interpretation.
- Address inquiries from front-office and operational teams on regulatory requirements, offering clear recommendations and actionable solutions.
- Engage and negotiate with internal stakeholders across functions and senior management; liaise with external legal counsel and consultants as needed.
- Develop ethical, transparent, and efficient reporting frameworks to support business decision-making and regulatory submissions.
- Support ad-hoc compliance projects and other assignments delegated by management.
Your Profile
- 4-6 years of relevant compliance experience within a financial institution, with exposure to retail brokerage.
- Solid knowledge of financial markets, including product structures and applicable rules and regulations governing Hong Kong and U.S. capital markets.
- Strong familiarity with compliance rules and guidelines issued by the Securities and Futures Commission (SFC).
- Analytical mindset, self-driven, and capable of performing under pressure.
Apply Today
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
Reference No. 67010-0013418717
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