Regulatory compliance, AVP - Investment bank

Key responsibilities:

• Lead SFC licensing activities, including applications, terminations, notifications, and annual returns, ensuring robust regulatory compliance and governance
• Manage regulatory enquiries, investigations, and compliance notifications, partnering with business units and regulators to deliver timely, accurate outcomes
• Oversee firm-wide compliance declarations and Continuing Professional Training (CPT), strengthening regulatory accountability and employee compliance
• Partner with cross-functional teams and senior management to provide regulatory guidance, deliver compliance reporting, and support effective risk management
• Drive continuous improvement of compliance frameworks by monitoring regulatory changes, strengthening regulator relationships, and enhancing internal policies

Candidate profile:

• Degree in Business, Finance, Law, or a related discipline, with 4+ years' regulatory compliance experience in a regulator, securities firm, or financial institution
• Strong knowledge of the SFO, SFC Code of Conduct, and Rules of the Exchange, with the ability to interpret and apply regulatory requirements
• Proven experience working with local regulators, supporting regulatory enquiries, audits, investigations, and compliance reporting
• Proficient in Microsoft Word, Excel, and general IT applications, with strong attention to detail and documentation skills
• Fluent in English, Cantonese, and Mandarin, with excellent communication and stakeholder management skills

About this company:

A leading financial services organisation with a strong presence in the securities industry is committed to maintaining the highest standards of governance, integrity, and regulatory excellence. It offers a collaborative and inclusive workplace with structured learning, career development opportunities, and the support to build a long-term career in an evolving regulatory landscape.

Keywords: Regulatory Compliance AVP, Regulatory Compliance, Securities Compliance, SFC Compliance, Regulatory Risk Management

What's next:

Shape the future of regulatory compliance by strengthening governance and protecting business integrity. Apply now!