Provide strategic oversight and governance of regulatory reporting obligations, including Short Position Reporting and Disclosure of Interests, ensuring full compliance with applicable Hong Kong regulatory requirements.
Lead the coordination and management of regulatory enquiries, inspections, and investigations ( SFC Sections and ), acting as the primary point of contact with regulators and ensuring timely, accurate responses.
Direct and enhance the firm’s compliance monitoring and testing framework, including surveillance of trading activities and implementation of robust control mechanisms to mitigate regulatory risks.
Oversee all Hong Kong regulatory licensing matters, including staff licensing applications, filings, annual returns, and maintenance of comprehensive licensing records, ensuring adherence to regulatory standards.
Establish and drive firm-wide compliance training strategy, including onboarding ...
Ready to Apply?
Join thousands of Americans building their careers