Job 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.
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Fluent in written and spoken English.
Job Particulars
Job source
eFinancialCareers
Job reference
23455592
Date published
25 Nov 2025
Job keywords
Compliance/Legal, Compliance Regulatory
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