Director of Regulatory Affairs, Securities House

5 days ago


Hong Kong, Central and Western District, Hong Kong SAR China Capital Access Limited Full time

Reporting to the Chief Executive Officer at Capital Access Limited, you will oversee a small team responsible for managing daily legal and compliance matters across various business lines. Key responsibilities include ensuring the legality and compliance of company operations, maintaining relationships with law firms, regulatory bodies, and government departments in both onshore and offshore Chinese markets. Effective communication with the China headquarters on compliance-related matters and projects is essential.

Requirements:

  • Degree holder in Business or related disciplines.
  • A minimum of 10 years of experience in a legal and compliance function at a reputable securities house.
  • Familiarity with industry laws and regulations, particularly those applicable to Type 1, 4, 6, and 9 licensed corporations under SFC regulations.
  • Previous experience working in Chinese securities houses is highly valued.
  • Fluency in both English and Chinese, with proficiency in Mandarin being a necessity.

The ideal candidate should possess strong leadership skills, effective communication abilities, and in-depth knowledge of relevant regulations and laws.

Based on market standards and expectations, the estimated salary for this position ranges from HKD 750,000 to HKD 1,200,000 per annum, depending on qualifications and experience.



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