CLIENT BACKGROUND
Our client is a well-established financial services platform with a strong presence in Hong Kong and the wider Asia-Pacific region. The organisation is known for its commitment to strong governance, regulatory excellence, and a collaborative working environment.
As part of its continued growth, the firm is seeking an experienced compliance professional with a regulatory background to join its Compliance team and support ongoing business and regulatory initiatives.
JOB RESPONSIBILITY
- Provide compliance and regulatory advisory support across business activities and strategic initiatives.
- Act as a key point of contact for internal stakeholders on regulatory requirements, compliance matters, and governance-related issues.
- Interpret and advise on applicable rules, regulations, and regulatory developments impacting the business.
- Work closely with business, legal, risk, and control functions to assess and manage regulatory risks.
- Support the review of business activities, policies, procedures, and internal controls to ensure alignment with regulatory expectations.
- Assist with regulatory enquiries, inspections, and ongoing engagement with relevant authorities where required.
- Contribute to compliance projects, regulatory change initiatives, and framework enhancements.
- Promote a strong compliance culture through effective stakeholder engagement and advisory support.
JOB REQUIREMENTS
- Previous experience gained from the Hong Kong regulatory environment, with candidates from the Securities and Futures Commission (SFC) particularly encouraged to apply.
- Solid understanding of Hong Kong's financial services regulatory framework and regulatory expectations.
- Exposure to corporate finance, investment management, asset management, or related financial services sectors would be advantageous.
- Experience providing regulatory interpretation, advisory support, or oversight within a regulatory body, financial institution, or professional services environment.
- Strong analytical and problem-solving skills with the ability to provide practical, risk-based solutions.
- Excellent communication and stakeholder management capabilities.
- Ability to work independently while collaborating effectively across multiple functions.
- Bachelor's degree or relevant professional qualification preferred.
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