Assistant Vice President
7 days ago
Assistant Vice President - Compliance (Regulatory Focus) Our client is a top tier Chinese financial services institution, a leader in Asia's financial ecosystem with a commanding presence in Hong Kong SAR, Mainland PRC, and beyond. Renowned for pioneering cross-border capital markets deals, innovative structured finance solutions, and robust principal investment strategies, they are at the epicentre of transformative transactions that redefine wealth creation and regulatory excellence. As a result of their continued growth in their business, they are now looking for an Assistant Vice President – Compliance to join their firm, specializing in the compliance and regulatory requirements of SFC & HKEX related enquiries, while fostering seamless collaboration with internal teams, external/Internal counsel, and their Mainland PRC parent entity. This is a frontline regulatory defence role requiring strong technical knowledge, coordination skills, and the ability to operate calmly in a high-pressure, regulator-facing environment. Key Responsibilities Act as a key point of contact for regulatory enquiries and investigations from the SFC, HKEX, Insurance Authority (IA), and other authorities, with particular emphasis on SFC powers under Sections 181, 182 & 183 of the SFO (document production, information requests). Lead and coordinate timely, accurate responses to formal regulatory requests and on-site inspections, working closely with Business, Operations, Risk, Legal, and Senior Management. Track, monitor, and drive remediation of all internal and external compliance findings (regulatory, audit, and self-identified) to ensure closure within prescribed deadlines. Develop, enhance, and execute risk-based compliance monitoring and testing programmes; perform regular reviews and ad-hoc investigations into suspicious transactions, client activities, or potential breaches. Identify control gaps, escalating material non-compliance issues, and propose practical remediation measures and process improvements. Stay fully updated on evolving SFC, HKEX, IA, and cross-border regulatory requirements; translate changes into policies, procedures, and training content. Foster a strong compliance culture through delivery of targeted training, awareness initiatives, and regular updates to policies, guidelines, and training materials. Requirements Bachelor’s degree in Accounting, Law, Business, Finance, or related discipline; professional qualifications (e.g., CPA, CFA, CAMS, HKSI) highly advantageous. Minimum 5 years of compliance, regulatory liaison, or internal control experience within the financial services industry (preferably brokerage/securities) or with a regulatory body. Proven hands‑on experience in: Managing SFC/HKEX/IA regulatory enquiries and investigations (especially S.181–183 responses) Conducting compliance reviews, thematic monitoring, and internal investigations Drafting/updating policies, procedures, and training materials In‑depth knowledge of SFC, HKEX, and IA rules, codes, and guidelines (including AML/CFT, licensing, conduct, and market misconduct regimes). Ability to work independently, prioritise multiple urgent deadlines, and perform effectively under pressure. Highest standards of ethics, integrity, and professional judgement. Excellent written and spoken English and Chinese (Cantonese); fluency in Putonghua is a distinct advantage. #J-18808-Ljbffr
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Vice President, Relationship
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