Head of Regulatory Advisory

6 days ago


Hong Kong, Hong Kong SAR China Unicorn Advisor (HK) Limited Full time

My client - large fintech brokerage firm is looking for senior regulatory compliance. Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements Advise on compliance issues and potential impact of regulatory trends and developments Provide practical compliance advice for business such as retail and institutional brokerage, global markets business Perform license applications, notifications, enquiries, surveys and maintain relevant records Perform trade surveillance and regular reviews to identify potential compliance or internal control issues Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc Conduct internal compliance trainings and maintain CPT records Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements Must have strong SFC inspection experiences Minimum 8 years of legal and compliance experience in brokerage companies/regulators Proficiency in written and spoken English, Cantonese, and Putonghua is a must



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