Description

About the Role

Our client, a leading player in the financial services sector, is seeking an experienced compliance professional to join their legal and compliance team. This role focuses on ensuring business operations align with regulatory expectations and internal governance standards.

Key Responsibilities

• Regulatory Liaison & Licensing: Manage all interactions with regulatory bodies, including applications, notifications, and handling inquiries. Maintain organized records of all regulatory correspondence.
• Activity Review & Analysis: Conduct regular reviews of business activities and client transactions to identify unusual patterns. Assist in the investigation and documentation of any flagged activities.
• Compliance Program Development: Help design and implement monitoring frameworks to review internal practices, including employee dealing activities, to mitigate risk.
• Client Lifecycle Management: Oversee client onboarding and periodic reviews, ensuring all identification and due diligence documentation for both retail and institutional clients is current and complete.
• Tax & Regulatory Reporting: Advise on reporting obligations related to FATCA and CRS reporting
• Content & Documentation Review: Review client-facing materials, agreements, and official notices to ensure accuracy and adherence to internal policies.
• Training & Development: Prepare and deliver internal training sessions to staff on regulatory topics and maintain necessary training records.
• Strategic Advisory: Act as a point of contact for business teams, providing practical advice on risk considerations for new transactions and day-to-day operations.

Candidate Profile

• Bachelor's degree in ideally the legal field
• 8+ years of relevant experience within a financial institution r regulatory body
• Must have experience with securities products (e.g., Hong Kong and US equities, funds) and wealth management structures.
• Experience with licensing applications or virtual assets is a distinct advantage.
• Strong trilingual communication skills (English, Cantonese, Mandarin).
• Ability to present complex information clearly to internal stakeholders.
• Proactive, collaborative, and capable of working in a fast-paced environment.

How to apply

If you are interested in discussing this role further, please apply for the position or contact Christy Zhang at cz@escorporatefunctions.com (Job code 73243).