AM / Manager, Central Compliance (Legal & Compliance Department)

国泰君安国际 Guotai Junan International; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Benefits offered by this job

Fringe benefits

Attractive remuneration package

Job summary

Guotai Junan International seeks a compliance professional in Hong Kong to handle regulatory inquiries, perform reviews, and support reporting to Head Office. The role emphasizes KYC/DQ management, FATCA/CRS, and assisting with policy development.

Minimum 3–6 years in financial compliance, with knowledge of SFC, SFO, HKEX, and PDPO. English and Chinese proficiency required; Putonghua preferred. Some travel may be needed.

Qualifications

• University degree in Law, Finance, Accounting, or other relevant disciplines.
• 3–6 years' experience in central, regulatory, or technology compliance within the financial industry.
• Experience with SFC and HKEX dealings is highly preferred.
• Solid knowledge of SFC regulations, SFO, HKEX rules, and the PDPO.
• Knowledge of FATCA and CRS regulatory requirements.
• Experience handling regulatory inquiries, inspections, and policy drafting.
• Detail-oriented with strong analytical, communication, and organizational skills.
• Proficiency in Microsoft Office
• Excellent command of written and spoken English and Chinese; Putonghua preferred.
• Occasional business travel may be required.

Responsibilities

• Handle enquiries from regulators, law enforcement, and counterparties on investigations and regulatory questionnaires.
• Conduct compliance reviews and monitoring, identify gaps, and track remediation progress.
• Support preparation and maintenance of regulatory filings and Head Office reporting.
• Assist with compliance incidents and oversee remedial actions.
• Draft, update, and maintain compliance policies in line with regulatory developments.
• Manage KYC / due diligence questionnaires from counterparties and regulators.
• Handle FATCA/CRS reporting including data validation and liaison with internal/external parties.
• Support technology compliance through enquiries, projects, and system implementations.
• Advise business units and back-office on compliance issues and regulatory standards.
• Support licensing and training matters; undertake ad-hoc assignments as needed.

Skills

Analytical skills

Communication skills

Organizational skills

English & Chinese proficiency

Education

University degree in Law/Finance/Accounting

Tools

Microsoft Office

Job description

Job Description

• Handle enquiries from internal and external stakeholders, including regulators, law enforcement agencies, and counterparties, on investigation requests, trade-related enquiries, information demands, business-related enquiries, inspections, and regulatory questionnaires;
• Conduct compliance reviews and monitoring exercises, identify potential gaps, and monitor the remediation progress of corrective actions;
• Support preparation and maintenance of regulatory filings, internal reports, and Head Office reporting;
• Assist to handle compliance incidents and breaches and overseeing the implementation of remedial actions;
• Draft, update, and maintain compliance policy and procedure manuals in line with regulatory developments, Head Office requirements, and industry best practices;
• Manage and respond to KYC / due diligence questionnaires (DDQ) from counterparties, business partners, and regulators in a timely and accurate manner;
• Manage FATCA/CRS reporting for tax authorities, including data validation, submissions, and liaison with relevant internal and external parties;
• Support technology compliance by managing technology related enquiries, questionnaires, projects, and system implementations to ensure adherence to regulatory requirements and data governance standards;
• Advise business units and back-office functions on compliance issues and provide ongoing support to ensure adherence to regulatory standards;
• Support licensing and training matters on an as-needed basis; and
• Undertake ad-hoc assignments and projects as assigned by management.

Job Description

• Handle enquiries from internal and external stakeholders, including regulators, law enforcement agencies, and counterparties, on investigation requests, trade-related enquiries, information demands, business-related enquiries, inspections, and regulatory questionnaires;
• Conduct compliance reviews and monitoring exercises, identify potential gaps, and monitor the remediation progress of corrective actions;
• Support preparation and maintenance of regulatory filings, internal reports, and Head Office reporting;
• Assist to handle compliance incidents and breaches and overseeing the implementation of remedial actions;
• Draft, update, and maintain compliance policy and procedure manuals in line with regulatory developments, Head Office requirements, and industry best practices;
• Manage and respond to KYC / due diligence questionnaires (DDQ) from counterparties, business partners, and regulators in a timely and accurate manner;
• Manage FATCA/CRS reporting for tax authorities, including data validation, submissions, and liaison with relevant internal and external parties;
• Support technology compliance by managing technology related enquiries, questionnaires, projects, and system implementations to ensure adherence to regulatory requirements and data governance standards;
• Advise business units and back-office functions on compliance issues and provide ongoing support to ensure adherence to regulatory standards;
• Support licensing and training matters on an as-needed basis; and
• Undertake ad-hoc assignments and projects as assigned by management.

Job Requirements

• University degree in Law, Finance, Accounting, or other relevant disciplines;
• At least 3-6 years' experience in central, regulatory, or technology compliance within the financial industry;
• Prior exposure to dealings with the SFC and HKEX, particularly in areas of enforcement, intermediaries supervision, and licensing, is highly preferred;
• Sound knowledge of SFC regulations, SFO, HKEX rules, and the Personal Data (Privacy) Ordinance (PDPO).
• Sound working knowledge of FATCA and CRS regulatory requirements;
• Experience in handling regulatory enquiries, inspections, compliance reviews, and policy drafting;
• Responsible, detail-minded, and capable of handling multiple tasks with strong analytical, communication, and organizational skills;
• Proficiency in using Microsoft Office;
• Excellent command of written and spoken English and Chinese, fluency in Putonghua is required; and
• Occasional business travel may be required.

Benefits & Others

We offer an attractive remuneration package and fringe benefits to the right candidate. (Data collected will be kept strictly confidential and used for recruitment purpose only.)