Regulatory Affairs Director

5 days ago


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

The Senior Compliance Officer will work closely with the Business to ensure that all staff, appointed representatives and those associated with the company are fully conversant with and adhere to all regulatory requirements and internal policies.

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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