Compliance Expert

2 days ago


Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

About Us

HARBRIDGE PARTNERS is a leading employment agency that provides top talent to the financial services industry.

We are currently seeking an experienced Compliance Expert to join our team in Hong Kong.

Job Description

The Compliance Expert will be responsible for overseeing and advising on all Hong Kong-related compliance and regulatory matters, including:

  1. Acting as the primary liaison to the SFC exchanges and other regulatory bodies;
  2. Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
  3. Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;
  4. Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulator reasons;
  5. Drafting and implementing firm policies and written supervisory procedures;
  6. Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the appropriate remedial action plans to address any findings.

Required Skills and Qualifications

To be successful in this role, you must have:

  1. A strong analytical mindset and ability to work collaboratively;
  2. Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment;
  3. The ability to manage a small team and take ownership of projects and tasks with minimal supervision;
  4. Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
  5. Familiarity with the Hong Kong regulatory process, rules and codes;
  6. A 'can-do' attitude and willingness to learn;
  7. Strong technical orientation and comfort with computers and technology as applied to trading, surveillance and compliance;
  8. Fluency in English and Cantonese (both written and spoken).

Benefits

We offer a competitive package of benefits, including:

  • A competitive salary and annual performance-based bonus;
  • Excellent health and welfare benefits, including medical, dental and specialist cover;
  • A competitive package of Annual Leave;
  • A fully stocked kitchen and daily lunch ordered in-house;
  • Modern offices with multi-monitor setups;
  • A great work-life balance;
  • A unique opportunity to gain exposure to global financial products, markets and clientele;
  • Opportunities for career progression and job scope expansion in a global company with a growing local presence;
  • A hybrid work arrangement role permitting flexibility and autonomy.

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