Business Advisory Compliance (Fintech and Wealth Management)

  • Hong Kong
  • Permanent
  • Full-time
  • 25 days ago
Our client, a leading financial services company is seeking an experienced business advisory compliance professional to join a small team to focus on fintech and retail/private wealth management businesses. This key role will:
  • Liaise with the SFC and other regulatory bodies, including handling regulatory investigations, inquiries and complaints, preparing compliance reporting to regulators and coordinating regulatory onsite/offsite reviews
  • Provide practical advices to business units on laws, rules and regulatory requirements to support the ongoing operations and future development of the businesses
  • Establish and maintain Compliance policies and procedures to ensure compliance with regulatory requirements
  • Provide regular training to colleagues on regulatory and internal policy requirements
  • Review new product initiatives and provide compliance advices about regulatory/licensing requirements, and obtain regulators approval as required before the rollout of the new services
Qualification:To qualify, you need to have a University degree or above from top ranked universities with:
  • Minimum 8 years of internal audit/compliance review/regulatory compliance experience, with exposure to investment banking/ securities industry operations
  • Knowledgeable about relevant regulations and market practices applicable to securities firms
  • Hands-on experience in interacting with regulators
  • Adept to provide practical solutions and tech savvy
  • Strong team player with strong interpersonal and communication skills
  • Bilingual with proficiency in both Chinese (Mandarin) and English languages
  • Knowledge in virtual asset and virtual asset related products and the relevant regulatory requirements would be advantageous
How to Apply:Upload your CV by clicking "Apply" on this page or get in touch with Annie Tang ([email redacted, apply via Company website]) for a confidential discussion.(Confidentiality assured. All inquiries handled by Star Anise Legal, Hong Kong's leading legal recruitment specialist.)All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

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