Regulatory Compliance Manager - Securities Firm

Job Title: Regulatory Compliance Manager - Securities Firm
Contract Type: Permanent
Location: Hong Kong Island, Hong Kong
Salary: HK$50000 - HK$60000 per month + bonus
REF: 345221_1505811151
Contact Name: Evgeny Volyanik
Contact Email:
Job Published: about 1 year ago

Job Description

Key responsibilities:
  • Regulatory Compliance advisory for the business, senior management and internal team.
  • Focal point of contact for Regulator's inquaries, audits and investigations;
  • Support Senior Management across Asia Pacific in ensuring all reporting and adhoc information request from Group or Regional Management or Regulator are completed within timelines;
  • To review periodic or ad hoc reports or information provided to Asia Pacific Regulatory Compliance and to take necessary actions if required;
  • Actively participate in the formulation Risk & Control assessment with an emphasis on risks that have a Compliance ownership;
  • To promote, lead and manage the culture and practice of compliance with the letter and spirit of legal and regulatory requirements and ethical standards in the conduct of business;
  • To assist the Head of Regulatory Compliance, APAC in providing leadership and management support to ensure that the Firm and its subsidiaries operate in accordance with:
- All regulatory and legal requirements all Group standards of conduct, so as to protect and enhance the reputation of the Firm and its subsidiaries in HK and avoid significant financial losses;
- Work effectively as part of a dynamic team including taking on difficult tasks when necessary.

Key requirements:

  • Demonstrable aptitude for analysing complex, multi faceted internal and external relationships;
  • Proven ability to have worked with complex regulatory regimes;
  • Experience working with SFC on License Type 1, 4, 6 and 9;
  • Excellent written and verbal communication skills, with meticulous attention to detail;
  • Ability to work under pressure of tight deadlines;
  • Strong team player with leadership potential, highly motivated, entrepreneurial and autonomous.

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