AM / Manager, Central Compliance (Legal & Compliance Department)
Core
Manage central compliance operations, regulatory reporting, and policy development for a securities company in Hong Kong.
Role type
Manager, Central Compliance (Legal & Compliance)
Builds
Regulatory filings, compliance policy manuals, and tax reporting (FATCA/CRS) for the firm.
Domain
Financial Services / Regulatory Compliance
Required skills
Regulatory compliance management, policy drafting, KYC/DDQ handling, FATCA/CRS reporting, regulatory liaison, incident management, data validation
Preferred skills
Experience with SFC/HKEX enforcement and supervision, technology compliance projects
Technologies
Microsoft Office
Responsibilities
Handle enquiries from regulators and law enforcement; conduct compliance reviews and monitor remediation; manage FATCA/CRS reporting; draft and maintain compliance policies; advise business units on compliance issues.
Seniority
Manager, hands-on IC