Regulatory Compliance Manager - Brokerage firm - SFC Licensing

Job Title: Regulatory Compliance Manager - Brokerage firm - SFC Licensing
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: HK$60000 - HK$85000 per annum
REF: 1232345_1505307582
Contact Name: Evgeny Volyanik
Contact Email:
Job Published: about 1 year ago

Job Description

You key responsibility would be Assist European based company in pertaining SFC license.
After this crucial task your role will be to grow Compliance team and set up all Compliance procedures, systems, processes and be the main point of contact for the regulator.
After turning BAU your responsibilities would be:
  • Handle SFC enforcement / surveillance enquiries from regulators (SFC and HKEX)/upstream service provider and liaise with different parties;
  • Handle miscellaneous tasks / ad-hoc projects for business such as support business unit to apply relevant licence application (ETF Market Maker Licence for Derivatives Department), review traders blogs corner in corporate website, annual submission of BRMQ for licensed group companies, handle enquiries/requests from regulators, etc.;
  • Support business for outside accounts maintenance for the group (bank/brokers accounts) and banking facilities applications;
  • Prepare board resolutions for different business units such as Finance Department for bank accounts matters;
  • Develop knowledge especially regulatory updates to give constructive advice to different parties;
  • Review work of colleagues and share experiences with others;
  • Perform trade surveillance programme to monitor suspicious transactions (e.g. wash trades) with Smarts Brokers, red flags clearance and ongoing liaise with the vendor for system maintenance /enhancement.
  • Experience in licensing with SFC ideally for Type 1 & 2;
  • Well-versed with SFO and HKEX exchanges & clearinghouses rules;
  • Experience in dealing with regulatory enquiry, inspection and investigation from SFC and HKEX;
  • Good product knowledge (Securities, Futures and Derivative Product etc) is preferred;
  • Good Analytical and problem solving skills;
  • Able to work under pressure and multi-tasking;
  • Project management skills an advantage; and

If you are interested please APPLY today and our Consultant will reach out to you ASAP to discuss this opportunity.