This is a senior compliance role at a Chinese based fintech firm, where you'll provide regulatory guidance across trading, product, and cross-border activities. You'll act as the key liaison with the SFC, monitor regulatory changes, and collaborate with internal teams to ensure robust compliance frameworks.
Client Details
The client is a Chinese based fintech firm established in 2017, operating with a lean team of around 30 professionals. Licensed under multiple SFC categories (Types 1, 2, 4, 7, and 9), the company specialises in trading and investment services, with a strong focus on regulatory compliance and cross-border financial activities.
Description
Responsibilities:
* Provide real-time local and regional regulatory compliance guidance and advice to trading floor
* Being the point of contact to business units for all product compliance related matters, assist in providing advisory support to the businesses
* Monitor actively regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations
* Liaise with the SFC on all onsite examination matters and enquiries
* Develop and track compliance monitoring programs and performed desk reviews periodically
* Provide cross-border activities regulatory compliance advice and approval
* Analyze regulation changes and its impact to the business process, and be responsible for updating Compliance policies and procedures
* Coordinate with relevant parties including Legal, New Products, Controllers, Operations, Risk, IT and other areas to ensure the appropriate controls and policies and procedures are in place for new businesses
Profile
Requirements:
* University degree holder in finance, business, accounting, Legal administration or relevant discipline
* At least 7 years of relevant compliance in securities firms and/or banks
* Must have strong understanding of FICC and derivative product knowledge
* Must have experience in handling and liaising with the SFC
* Must be able to speak really good mandarin
Job Offer
- competitive salary
- growing fintech firm
- broad exposure role
To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Monica Wong on +852 2848 4789.