Role Purpose
As the Manager of Business Compliance, you will serve as a strategic partner to the business, ensuring that our growth and innovation remain firmly rooted in regulatory integrity. You will be responsible for translating complex SFC regulations into actionable business advice, and overseeing the lifecycle of policy implementation.
Key Responsibilities
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Provide compliance advice to business units and associated parties, including comments on new business initiative and marketing campaigns.
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Formulate and implement policies and procedures to ensure compliance with the regulations.
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Liaise and collaborate with different business units to formulate, drive and implement remediation of compliance issues
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Assist in other assignments or ad hoc duties whenever necessary.
Requirements
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Education: Bachelor’s Degree in Law, Accountancy, Finance, or a related discipline.
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Experience: A minimum of 5 years of professional experience within the securities brokerage industry, with a proven track record in a compliance-focused role.
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Technical Knowledge: Deep expertise in SFC codes, regulations, and the current Hong Kong regulatory landscape.
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Language: Fluency in written and spoken English and Chinese (Cantonese and/or Mandarin) is essential.
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