Assistant Manager/ Manager - Central & Technologies Compliance

Job Description

• Handle enquiries from internal and external stakeholders, including regulators, law enforcement agencies, and counterparties, on investigation requests, trade-related enquiries, information demands, business-related enquiries, inspections, and regulatory questionnaires;
• Conduct compliance reviews and monitoring exercises, identify potential gaps, and monitor the remediation progress of corrective actions;
• Support preparation and maintenance of regulatory filings, internal reports, and Head Office reporting;
• Assist to handle compliance incidents and breaches and overseeing the implementation of remedial actions;
• Draft, update, and maintain compliance policy and procedure manuals in line with regulatory developments, Head Office requirements, and industry best practices;
• Manage and respond to KYC / due diligence questionnaires (DDQ) from counterparties, business partners, and regulators in a timely and accurate manner;
• Manage FATCA/CRS reporting for tax authorities, including data validation, submissions, and liaison with relevant internal and external parties;
• Support technology compliance by managing technology related enquiries, questionnaires, projects, and system implementations to ensure adherence to regulatory requirements and data governance standards;
• Advise business units and back-office functions on compliance issues and provide ongoing support to ensure adherence to regulatory standards;
• Support licensing and training matters on an as-needed basis; and
• Undertake ad-hoc assignments and projects as assigned by management.

Job Requirements

• University degree in Law, Finance, Accounting, or other relevant disciplines;
• At least 3-6 years' experience in central, regulatory, or technology compliance within the financial industry;
• Prior exposure to dealings with the SFC and HKEX, particularly in areas of enforcement, intermediaries supervision, and licensing, is highly preferred;
• Sound knowledge of SFC regulations, SFO, HKEX rules, and the Personal Data (Privacy) Ordinance (PDPO).
• Sound working knowledge of FATCA and CRS regulatory requirements;
• Experience in handling regulatory enquiries, inspections, compliance reviews, and policy drafting;
• Responsible, detail-minded, and capable of handling multiple tasks with strong analytical, communication, and organizational skills;
• Proficiency in using Microsoft Office;
• Excellent command of written and spoken English and Chinese, fluency in Putonghua is required; and
• Occasional business travel may be required.

Benefits & Others

We offer an attractive remuneration package and fringe benefits to the right candidate.

(Data collected will be kept strictly confidential and used for recruitment purpose only.)