Description

Our client is a SFC-licensed leading global comprehensive trading platform for both individual and institutional clients with access to global markets.

Responsibilities

• Communicate with regulatory bodies to ensure compliance and address inquiries.
• Research and interpret regulations applicable to brokerage operations in the region.
• Draft and implement internal policies to meet regulatory requirements.
• Draft responses to regulatory inquiries and concerns.
• Manage regulatory inspections and audits, developing action plans to address any findings.

Requirements

• Degree holder with at least 4 years of experience relevant experience in regulatory compliance with regulatory body, exchange, or SFC licensed corporations.
• Familiar with Hong Kong and regional regulatory requirements.
• Experience in handling regulatory inspections and liaising with regulatory body is a plus.
• Fluent in written and spoken English.