Responsibilities:

Handle enquiries from internal and external stakeholders, including regulators, law enforcement agencies, and counterparties, on investigation requests, trade-related enquiries, information demands, business-related enquiries, inspections, and regulatory questionnaires;
Conduct compliance reviews and monitoring exercises, identify potential gaps, and monitor the remediation progress of corrective actions;
Support preparation and maintenance of regulatory filings, internal reports, and Head Office reporting;
Assist to handle compliance incidents and breaches and overseeing the implementation of remedial actions;
Draft, update, and maintain compliance policy and procedure manuals in line with regulatory developments, Head Office requirements, and industry best practices;
Manage and respond to KYC / due diligence questionnaires (DDQ) from counterparties, business partners, and regulators in a timely and accurate manner;
Manage FATCA/CRS reporting for tax authorities, including data validation, submissions, and liaison with relevant internal and external parties;
Support technology compliance by managing technology related enquiries, questionnaires, projects, and system implementations to ensure adherence to regulatory requirements and data governance standards;
Advise business units and back-office functions on compliance issues and provide ongoing support to ensure adherence to regulatory standards;
Support licensing and training matters on an as-needed basis; and
Undertake ad-hoc assignments and projects as assigned by management.

Requirements:

University degree in Law, Finance, Accounting, or other relevant disciplines;
At least 3–6 years’ experience in central, regulatory, or technology compliance within the financial industry;
Prior exposure to dealings with the SFC and HKEX, particularly in areas of enforcement, intermediaries supervision, and licensing, is highly preferred;
Sound knowledge of SFC regulations, SFO, HKEX rules, and the Personal Data (Privacy) Ordinance (PDPO).
Sound working knowledge of FATCA and CRS regulatory requirements;
Experience in handling regulatory enquiries, inspections, compliance reviews, and policy drafting;
Responsible, detail-minded, and capable of handling multiple tasks with strong analytical, communication, and organizational skills;
Proficiency in using Microsoft Office;
Excellent command of written and spoken English and Chinese, fluency in Putonghua is required; and
Occasional business travel may be required.

We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply" or by sending it to recruitment@gtjas.com.hk.

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

Guotai Junan International (Stock Code: 1788.HK) is the first Chinese securities company listed on Hong Kong Stock Exchange by way of IPO. Based in Hong Kong, we provide diversified financial services including wealth management, brokerage, corporate finance, loans and financing, asset management and financial products. Through the systematic management and training, you will have the opportunity to maximize your talents on our board platform and empower your future with GTJAI.

Flexible job Equity Research Programme jobs (2)

Sign up to Job Alerts!

Data Delivery Project, Contract

深度学习研究员 | 量化

Boost your career