Description

Reporting to the Head of Secondary Markets Compliance for Hong Kong, the right incumbent will be responsible for providing compliance coverage for its public side business activities conducted from Hong Kong, with a focus on

1) SFC regulatory compliance advisory

Will serve as a key subject matter expert providing proactive, high-quality regulatory advice to business leaders, front-office teams, and support functions. The successful candidate will ensure that the firm's business initiatives, product rollouts, and day-to-day operations align seamlessly with the Hong Kong Securities and Futures Commission (SFC) regulations, the Securities and Futures Ordinance (SFO), and relevant codes of conduct.
Key Responsibilities 1. Regulatory Advisory & Business Enablement

1. Provide clear, timely, and actionable compliance advice to front-office business units regarding SFC regulations and code of conduct obligations.
2. Conduct compliance reviews and sign-offs for new product launches, marketing materials, and new business initiatives (e.g., cross-border wealth connect, virtual asset initiatives, or algorithmic trading).
3. Interpret upcoming or revised SFC guidelines, circulars, and consultation conclusions; assess their operational impact and advise senior management on implementation strategy.

2. Policy Formulation & Framework Management

1. Lead the development, review, and enhancement of internal compliance policies, manuals, and operational procedures to ensure ongoing alignment with evolving regulations.
2. Identify, assess, and mitigate regulatory risks inherent across the firm's regulated activities (e.g., SFC Type 1, 4, 6, and/or 9 ).

3. Regulator Relations & Licensing

1. Act as a key liaison with the SFC, managing regulatory inquiries, consultations, routine audits, and ad hoc investigations.
2. Oversee licensing matters, including the onboarding of new licensed individuals, Responsible Officer (RO) mapping, and notification obligations via the WINGS portal.
3. Assist in drafting and submitting responses to the regulator on behalf of the firm.

4. Governance & Training

1. Design and deliver tailored compliance training programs to enhance staff awareness regarding market conduct, insider dealing, conflicts of interest, and anti-money laundering (AML).
2. Collaborate closely with internal audit, risk management, and the legal team to address and remediate any control gaps or breaches.

2) monitoring & surveillance processes and functions on sales and trading activities.

1. Perform independent trade surveillance and monitoring, and electronic communication ("e-com") surveillance
2. Conduct independent second-level control reviews on selected business activities and processes to ensure compliance with applicable legal and regulatory requirements and Firm's internal policies and procedures
3. Handle regulatory requests and inquiries
4. Provide regulatory advice to Equity, FICC and Wealth Management businesses in relation to trade surveillance
5. Assist in updating all relevant compliance policies and procedures in relation to trade and e-com surveillance, as well as compliance control reviews to ensure alignment with applicable legal and regulatory requirements, best practices and Firm standards, and help draft new policies and procedures in accordance with the new regulatory requirements or business developments
6. Provide compliance training to business units and infrastructure support functions in relation to trade and e-com surveillance matters
7. Handle any other compliance matters and projects as assigned by the Head of Secondary Markets Compliance from time to time

Knowledge and Experience

1. Some financial services compliance and regulatory legal background
2. Familiar with the trading rules and other related regulatory requirements applicable to Hong Kong licensed corporations
3. Prior working experience in in-house compliance or regulatory authority is preferred

Skills and Abilities

1. A professional with high integrity
2. Excellent verbal and written communication skills in both English and Chinese (Mandarin is a MUST)
3. Strong analytical and critical thinking skills
4. Technology-savvy and detail-oriented
5. Fast learner and a strong team player
6. Proactive and able to act independently

Qualifications

1. University degree in Business, Finance, Economics or a related discipline
2. 5-8 years of relevant experience in SFC regulatory compliance ; monitoring & surveillance compliance