Compliance Expert for Global Financial Markets

5 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 with a growing presence in the financial industry. We provide expert recruitment services to top companies and professionals alike.

Job Description:

The Head of Compliance-Hong Kong will play a crucial role in ensuring our clients' compliance with Hong Kong's regulatory requirements. As a key member of our team, you will be responsible for:

  • Regulatory Liaison: Serve as the primary liaison between our company and the Securities and Futures Commission (SFC) exchanges and other regulatory bodies;
  • Compliance Research and Advice: Conduct research, interpret and advise the firm on compliance with laws, regulations and guidance applicable to brokers in the region;
  • Strategic Framework Implementation: Develop and implement strategies and frameworks for complying with SFC and exchange requirements for all regulated activities;
  • Regulatory Change Management: Assist in crafting written instructions for programmers and technology staff to facilitate changes required due to regulatory updates or other reasons;
  • Policies and Procedures: Draft and implement firm policies and written supervisory procedures;
  • Regulatory Inspection and Audit Reviews: Manage all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing remedial action plans to address any findings.

Required Skills and Qualifications:

To succeed in this role, you will need:

  • Strong Analytical Skills: Be a self-starter with strong analytical skills and able to work collaboratively;
  • Superior Organizational Skills: Demonstrate superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced environment;
  • Team Leadership: Have the ability to manage a small team and take ownership of projects and tasks with minimal supervision;
  • Financial Services Experience: Possess proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
  • Hong Kong Regulatory Knowledge: Familiarity with the Hong Kong regulatory process, rules and codes;
  • Candidate Must-Haves: Possess a


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