HARBRIDGE PARTNERS
Hong Kong, HONG KONG
(on-site)
Posted
10 days ago
Job Function
Legal Support
Description
Job Title: Securities Regulatory Compliance Manager (SFC, Regulatory side)Location: Central, Hong Kong
Responsibilities
We are seeking a Compliance Manager with sound SFC and regulatory liaison experience from a securities firm background based in Hong Kong.
This international team of Core Compliance Professionals serve the APAC region (Taiwan, Singapore, Australia, and Hong Kong etc.).
The position will report regionally to the Head of Core Compliance Asia Pacific.
Key responsibilities include:
-
- Strong understanding of SFC licensed securities business
- Liaising and communicating with HK regulators- SFC, JFIU etc.
- Researching, interpreting, and advising on compliance with relevant laws, regulations, and guidance applicable to brokers in Hong Kong, Singapore, and Australia.
- Drafting and implementing policies and procedures to ensure compliance with regulatory requirements.
- Preparing written responses to regulatory inquiries.
- Managing regulatory inspections and audit reviews, including developing and implementing remedial action plans to address findings.
Required Qualifications and Skills:
-
- Spoken to native level English with Cantonese or / And Mandarin is preferred
- Self-starter with strong analytical skills.
- Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced environment.
- Proficient with technology and able to understand how it applies to business and regulatory challenges.
- Excellent oral and written communication skills.
- Ability to develop compliance solutions that meet regulatory requirements while applying sound business judgment.
- Experience working in a small team environment and collaboratively.
- Proven experience at a financial services regulatory agency, exchange, or licensed financial services firm.
- Familiarity with the regulatory requirements in Hong Kong or the region.
- A "can do" attitude with a willingness to learn.
Company Benefits & Perk:
-
- Competitive salary, annual performance-based bonus, and stock options.
- Excellent health and welfare benefits, including medical, dental, specialist, and inpatient care.
- Competitive annual leave package.
- Daily in-house lunch with a fully stocked kitchen.
- Modern offices with multi-monitor setups.
- Great work-life balance.
- Opportunities to gain exposure to global financial products, markets, and clientele.
- Career progression and job scope expansion in a global company with a growing local presence.
- Hybrid work arrangement to some degree is permitted (not full work-from home!).
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 Terry Au, Edward Chen, Richard Liu, Cora Pang
Harbridge Partners Limited
Employment Agency License: 79129
Job ID: 81339160