Description

Job Title: Manager / Assistant Manager, Regulatory Compliance (APAC)

Location: Central, Hong Kong

Role Overview

This is a key role responsible for ensuring the firm meets its regulatory obligations and maintains a strong, transparent relationship with its regulators. The ideal candidate will possess a deep understanding of financial services regulations and have proven experience in managing regulatory engagements and drafting high-quality, timely responses.

Key Responsibilities:

1. Regulatory Engagement & Management: Serve as a primary point of contact for regulatory bodies in the APAC region, including the Hong Kong Monetary Authority (HKMA), Securities and Futures Commission (SFC), and the Monetary Authority of Singapore (MAS). Act as a key liaison for regulatory inspections, thematic reviews, and supervisory engagements.
2. Regulatory Inquiries & Responses: Lead and manage the end-to-end process of responding to regulatory inquiries, investigations, and third-party information requests (e.g., from external auditors and complaint handling agencies). This includes coordinating with business units and senior management to prepare, review, and submit comprehensive, clear, and accurate materials.
3. Advisory & Risk Management: Provide proactive and pragmatic regulatory and compliance advice to internal stakeholders across various business functions. Monitor, interpret, and communicate the implications of regulatory developments and changes in the APAC region.
4. Compliance Program Enhancement: Assist in developing, implementing, and maintaining compliance policies, procedures, and controls to ensure the firm's adherence to regulatory requirements. Conduct gap analyses to identify and remediate compliance risks.
5. Governance & Reporting: Prepare and present regular compliance reports, risk indicators, and updates to senior management and relevant governance committees.

Qualifications: Manager (6-8 Years + Experience)

1. Experience: A minimum of 6-8 years of progressive experience in regulatory compliance, legal, or a related function within the financial services industry.
2. Expertise: Demonstrated experience in managing and leading regulatory inspections, audits, and examinations. Strong working knowledge of APAC regulatory frameworks (HKMA, SFC, MAS) is essential.
3. Leadership: Proven ability to work independently with minimal supervision and manage multiple complex projects simultaneously. Experience in mentoring or guiding junior team members is a plus.

Qualifications: Assistant Manager (4-5 Years + Experience)

1. Experience: A minimum of 4-5 years of relevant work experience in compliance, audit, or a legal role within the financial services industry.
2. Expertise: Solid, hands-on experience handling regulatory inquiries and supporting inspections. A good understanding of APAC regulations, particularly in HK and SG, is required.
3. Skills: Strong analytical, problem-solving, and organizational skills with meticulous attention to detail. Ability to work effectively under pressure and meet tight deadlines.

Required Skills (Both Levels):

1. Communication: Exceptional written and verbal communication skills in English. Proficiency in Cantonese and/or Mandarin is highly advantageous for the Hong Kong market.
2. Stakeholder Management: Excellent interpersonal skills with the ability to build strong relationships and collaborate effectively across all levels of the organization.
3. Analytical: Strong analytical and risk-assessment capabilities. Ability to translate complex regulatory requirements into practical business advice.
4. Education: A bachelor's degree in law, Finance, Business, Accounting, or a related discipline is required. A professional compliance certification (e.g., ACAMS, ICA) is a plus

Please send an updated resume in English to our Managing Partner at ec(at)Harbridgepartners(dot)com

Interested in this and other roles? Please send an updated resume in English to CV[@]harbridgepartners[dot]com

Or contact +852 2523 9955 - and ask for Vanessa Wang, Edward Chen, Richard Liu, Jerry Tang.

Harbridge Partners Limited

Employment Agency License: 82836