Job Description

Manage and handle inquiries from regulators regarding investigation requests, trade-related inquiries, demand for information, business-related inquiries, and inspections. Serve as the primary contact point with regulators.
Supervise the team responsible for statutory regulatory reporting under the Securities and Futures Ordinance (SFO), including Disclosure of Interests and Short Position Reporting.
Provide advice on SFC licensing and Manager-In-Charge requirements.
Assist business units and back offices with compliance issues and support.
Update and maintain compliance policies and procedures manuals.
Support the Head of Compliance in ad hoc projects related to new regulatory developments and business initiatives.
Ensure effective and efficient daily operations and revamp internal workflows as necessary (staff dealing, training, reporting, complaint handling).
Supervise the team handling FATCA/CRS reporting.

Job Requirements

University degree in Finance or a related discipline.
8-10 years of compliance experience, particularly with inquiries from the SFC on enforcement, supervision, and licensing, is advantageous.
Previous experience working in the SFC (Intermediaries Supervision or Enforcement) is preferred.
Team management experience.
Solid knowledge of SFO and HKEX rules.
Good understanding of financial products.
Proficiency in Microsoft Office.
Excellent written and spoken English and Chinese; fluency in Putonghua is required.

Benefits & Others
We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants should send a detailed resume with current and expected salaries and availability by clicking "Apply" or emailing to hr@gtjas.com.hk. (Data collected will be kept strictly confidential and used for recruitment purposes only.)
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