Job Description

Responsibilities

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Reporting to the Head of Core Compliance-APAC, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including:

  • Being the primary liaison to the SFC exchanges and other regulatory bodies;
  • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
  • Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;
  • 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;
  • Drafting and implementing firm policies and written supervisory procedures;
  • Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and i...

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