Business Advisory Compliance

This leading financial services company is seeking an experienced business advisory compliance professional to join a small team to focus on fintech and retail/private wealth management businesses. This key role will:

Liaise with the SFC and other regulatory bodies, including handling regulatory investigations, inquiries and complaints, preparing compliance reporting to regulators and coordinating regulatory onsite/offsite reviews

Provide practical advices to business units on laws, rules and regulatory requirements to support the ongoing operations and future development of the businesses

Establish and maintain Compliance policies and procedures to ensure compliance with regulatory requirements

Provide regular training to colleagues on regulatory and internal policy requirements

Review new product initiatives and provide compliance advices about regulatory/licensing requirements, and obtain regulators approval as required before the rollout of the new services

Qualification:

To qualify, you need to have a University degree or above from top ranked universities with:

Minimum 8 years of internal audit/compliance review/regulatory compliance experience, with exposure to investment banking/ securities industry operations

Knowledgeable about relevant regulations and market practices applicable to securities firms

Hands-on experience in interacting with regulators

Adept to provide practical solutions and tech savvy

Strong team player with strong interpersonal and communication skills

Bilingual with proficiency in both Chinese (Mandarin) and English languages

Knowledge in virtual asset and virtual asset related products and the relevant regulatory requirements would be advantageous