Description

My client is a leading Chinese wealth management conglomerate.

Job Responsibilities

1. Oversee compliance management for Hong Kong OTC derivatives business, ensuring all operations comply with Hong Kong Securities and Futures Commission (SFC) and applicable overseas regulatory requirements.

2. Interpret and track regulatory developments in overseas derivatives, promptly assess their impact on the business, and formulate compliance response measures.

3. Review cross-border derivatives product structures and transaction terms to ensure that product designs, marketing materials, and transaction documents (including SDA, CSA, etc.) meet compliance standards.

4. Establish and maintain compliance management procedures, covering client onboarding AML/KYC checks, suitability assessments, transaction reporting, and conflict of interest management.

5. Liaise with Hong Kong regulatory authorities, handle compliance inquiries, on-site inspections, and periodic regulatory filings.

6. Provide compliance advisory and training to business, trading, and operations teams to enhance firm-wide compliance awareness.

7. Perform other duties assigned by the company.

Qualifications

1. Bachelor's degree or above in Law, Finance, Economics, or related disciplines preferred.

2. Minimum 5 years of experience, with at least 3 years in derivatives compliance in Hong Kong or other offshore markets; experience in cross-border compliance or direct interaction with regulators such as the SFC is preferred.

3. Solid knowledge of the Hong Kong OTC derivatives regulatory framework; hands-on compliance experience with master agreements such as SDA and ISDA; deep understanding of offshore derivatives business models and risk points; ability to independently identify, assess, and mitigate compliance risks; strong logical analysis and compliance sensitivity; adept at balancing business growth with regulatory requirements.

4. Highly self-motivated and accountable, capable of exercising professional judgment under pressure; strong communication and coordination skills to effectively collaborate with business, risk, legal, and external regulators; committed to continuous learning of new regulatory changes.

5. Fluent in both Chinese and English as working languages, with the ability to proficiently review English legal documents and regulatory correspondences.