about the company.
An industry-leading financial services conglomerate in Hong Kong, celebrated for its expansive investment portfolio and unwavering commitment to regulatory integrity. This organisation champions a progressive, inclusive workplace where compliance professionals are empowered as strategic business partners, ensuring sustainable corporate growth and steadfast market trust.
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about the team.
You will integrate into a specialised, high-calibre compliance department characterised by collaboration and intellectual rigour. Operating with significant autonomy, this team partners closely with front-line sales, investment, and risk divisions. It is a supportive, transparent environment designed to cultivate leadership and reward proactive regulatory oversight.
about the job.
- Deliver expert compliance advise to diverse business units (including sales, investments, risk, and operations) regarding SFC Type 1, 4, and 9 regulations.
- Architect and execute robust operational workflows to meet and exceed SFC regulatory expectations.
- Formulate, audit, and update group-wide compliance manuals for all subsidiaries, including the SFC-licensed entity and licensed money lending entities.
- Execute comprehensive, periodic regulatory reviews and articulate strategic gap analysis reports.
- Partner with the MLRO and AML Compliance Officer to champion AML and CFT frameworks.
- Scrutinise and authorise external client communications and marketing collateral to ensure absolute compliance.
- Manage critical regulatory filings and orchestrate prompt, accurate responses to SFC and other regulatory enquiries.
- Govern the restricted securities list and resolve complex, related compliance inquiries.
- Design and deploy engaging compliance training programmes to embed a firm-wide culture of integrity.
skills & experience required.
- Bachelor’s degree in Law, Finance, Business Administration, or an equivalent discipline.
- Minimum 5 years of experience navigating regulatory compliance within a licensed bank, regulator, SFC-licensed corporation, or advisory firm.
- Comprehensive mastery of the SFO, FMCC, Code of Conduct, and current AML legislation; knowledge of the Money Lenders Ordinance is highly advantageous.
- Exceptional analytical acumen with the capacity to exercise independent judgement and proactively mitigate risks.
- Demonstrated integrity and a collaborative mindset, operating with the utmost professional accountability.
- Outstanding communication capabilities, requiring fluency in English and ideally fluency in written and spoken Chinese.
If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk.
