Licensing Compliance Specialist

5 days ago


Hong Kong Island, Hong Kong SAR China St. James's Place – Asia & Middle East Full time

The Senior Compliance Officer will play a critical role in ensuring that St. James's Place – Asia & Middle East maintains a strong reputation for compliance excellence.

This includes managing all licensing-related matters with the SFC, IA and MPFA, conducting regular compliance monitoring reviews, and implementing regulatory requirements.

Key Responsibilities:

  • Advise and handle all licensing-related matters with the SFC, IA and MPFA, including licensing applications, CPD/CPT tracking, and license renewal for individuals and corporate entities.
  • Act as point of contact with regulators for all licensing-related matters.
  • Manage the licensing function and its associated risks to the business, and escalate licensing risks to senior management in a timely manner.
  • Conduct regular reviews as part of the Compliance Monitoring Programme.
  • Monitor changes in local regulatory requirements and Group policies and procedures, and advise senior management of their impacts and any required changes to policies and procedures.
  • Develop compliance training materials and deliver regular training to Partnership and Business to ensure they are abreast of latest regulatory developments.
  • Manage the record keeping of relevant compliance activities and provide regular MI to management.

Requirements:

  • Excellent understanding of rules and regulatory requirements of the SFC and/or IA.
  • Experience in auditing and/or compliance monitoring/reviews.
  • Relevant SFC and/or IA regulatory experience and/or relevant product knowledge is an advantage.


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