Description

CLIENT BACKGROUND
Our client is a well-established financial services platform with a strong presence in Hong Kong and the wider Asia-Pacific region. The organisation is known for its commitment to strong governance, regulatory excellence, and a collaborative working environment.

As part of its continued growth, the firm is seeking an experienced compliance professional with a regulatory background to join its Compliance team and support ongoing business and regulatory initiatives.

JOB RESPONSIBILITY

• Provide compliance and regulatory advisory support across business activities and strategic initiatives.
• Act as a key point of contact for internal stakeholders on regulatory requirements, compliance matters, and governance-related issues.
• Interpret and advise on applicable rules, regulations, and regulatory developments impacting the business.
• Work closely with business, legal, risk, and control functions to assess and manage regulatory risks.
• Support the review of business activities, policies, procedures, and internal controls to ensure alignment with regulatory expectations.
• Assist with regulatory enquiries, inspections, and ongoing engagement with relevant authorities where required.
• Contribute to compliance projects, regulatory change initiatives, and framework enhancements.
• Promote a strong compliance culture through effective stakeholder engagement and advisory support.

JOB REQUIREMENTS

• Previous experience gained from the Hong Kong regulatory environment, with candidates from the Securities and Futures Commission (SFC) particularly encouraged to apply.
• Solid understanding of Hong Kong's financial services regulatory framework and regulatory expectations.
• Exposure to corporate finance, investment management, asset management, or related financial services sectors would be advantageous.
• Experience providing regulatory interpretation, advisory support, or oversight within a regulatory body, financial institution, or professional services environment.
• Strong analytical and problem-solving skills with the ability to provide practical, risk-based solutions.
• Excellent communication and stakeholder management capabilities.
• Ability to work independently while collaborating effectively across multiple functions.
• Bachelor's degree or relevant professional qualification preferred.