Securities Compliance Senior Manager/manager (wealth Management – Sfc Type 1, 4, 9)

Securities Compliance Senior Manager/Manager (Wealth Management – SFC Type 1, 4, 9)
Job Responsibilities:
Oversee and implement compliance policies and procedures in accordance with SFC and HKMA regulatory requirements
Monitor the latest regulatory developments and the Group standard, provide updates and suggest solutions for the latest developments
Provide advisory services to business units in the interpretation and implementation of compliance requirements
Review the in‑house compliance policies and work procedures with reference to the statutory requirements of different regulatory authorities
Understand SFC Type 1, 4 and 9 Discretionary Portfolio Management (DPM) practices and related compliance standards
Finish assigned work tasks, enhance communication among superiors and subordinates and report work progress to superiors in a timely manner
Liaise with regulators, auditors, and internal stakeholders on compliance matters
Qualifications:
Bachelor's degree in Law, Finance, or a related discipline; legal or compliance certifications preferred
Minimum 5–8 years of compliance experience in the financial services, with a particular emphasis on banking experience and SFC type 1, 4 and 9 regulated activities as an advantage
Strong knowledge of SFC and HKMA regulations, licensing, and distribution requirements
Good knowledge of local stock market and asset management
Good knowledge of the general banking operations and its legal and regulatory context
Self‑initiated, analytical‑minded and able to handle multi‑tasks under a tight schedule
Language proficiency: fluent in both written and spoken English and Cantonese required
Seniority Level: Mid‑Senior level
Employment Type: Full‑time
Job Function: Finance
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