The Senior Regulatory Control Advisor is responsible for establishing and maintaining control frameworks designed to manage regulatory monitoring, surveillance, employee compliance, transaction monitoring and client screening. The Senior Regulatory Control Advisor implements operational processes of specific non-financial risks. The Senior Regulatory Control Advisor is in regular interaction with the front office where required as part of their process or in assisting with specific Level 1 control advice. The Senior Regulatory Control Advisor works with subject matter experts and other teams from across the function and proactively develops and maintains consultative working relationships with internal stakeholders.
Your key responsibilities:
- Advising and handling of SFC and HKMA licensing matters including registration, de-registration, examination and CPT / CPD tracking;
- Advising on senior management accountability expectations set out by the regulators
- Advising and supervising CE/ACE, s72B manager and MIC appointments, EO, RO and Principal requirements and applications.
- Face-off with senior stakeholders and advise on related matters;
- Point of contact with the regulators for any matters in relation to registration and licensing.
- Updating business and business line compliance on new/amended regulations relating to licensing/registration
- Working on compliance monitoring and review on ongoing licensing requirements of the firm and individual staff.
- Preparing and submitting Returns and forms filed to the HKMA/ SFC.
- Escalate necessary matters to compliance management and other stakeholders in a timely fashion;
- Providing record keeping of Swap Dealer AP Questionnaire and US Sec Rule 15a-6 forms for HK staff and informing the relevant Swap Dealer Compliance Berlin Team or US Compliance Team of any addition/deletion of such records.
- Involvement in the annual re-certification exercise of HK staff designated as Swap Dealer AP.
- May be required to provide support to the broader Central Compliance team which covers personal account dealing, outside business interests, Compliance attestations and Position Reporting.
Your skills and experience:
- 3 years plus experience of working within Licencing and Registrations team in a large financial institution or with the regulators in Hong Kong;
- Sound knowledge on SFC and HKMA Licencing and registration requirements;
- Able to deal with assertive individuals and hold challenging conversations
- Able to work with minimal supervision;
- Able to work on multiple projects.
- English essential. Cantonese/Mandarin good to have. Good level of MS Office and Project management skills desirable are also desirable.
- Solid understanding of regulatory environment.
- Degree Level