about the job.
- Provide local and regional regulatory compliance guidance and advice to business units, including FIC and DCM.
- Act as the primary point of contact for business units regarding all product compliance-related matters, delivering dedicated advisory support.
- Actively monitor regulatory developments and trends, taking appropriate action to ensure business units comply with new or amended regulations.
- Develop and track compliance monitoring programmes and perform periodic desk reviews.
- Provide regulatory compliance advice and approval for cross-border activities.
- Analyse regulatory changes and their impact on business processes, taking responsibility for updating compliance policies and procedures.
- Train front-office staff on new policies and procedures, and facilitate the development of strategies for seamless implementation.
- Maintain cooperative and professional relationships with governmental policy makers and the regulatory agencies that govern the firm's operations.
- Assist in ad-hoc investigations, including data gathering, analysis, and comprehensive documentation of results.
- Coordinate with relevant parties (Legal, New Products, Controllers, Operations, Risk, and IT) to ensure appropriate controls and policies are established for new businesses.
skills & experience required.
- University degree in finance, business, accounting, law, or a relevant academic discipline.
- Minimum 7 years of relevant compliance working experience within major investment banks or securities firms.
- Comprehensive understanding of key regulators in Hong Kong (e.g., SFC, HKMA), including their culture, policies, and expectations, alongside the ability to assess the impact of overseas regulatory developments.
- Demonstrated ability to effectively review and analyse data, applying sound judgement to remediate issues in a timely manner.
- Deep knowledge and intellectual curiosity regarding global macroeconomics, politics, and socio-cultural developments.
- Exceptional interpersonal and communication skills; the successful candidate must be a strong team player capable of partnering across various business functions.
- Strong sense of risk assessment and management, with the ability to solve problems independently under minimal supervision.
- Proficient in time management with a proven track record of initiating and managing projects.
