Assistant Manager, Compliance & Regulator Liaison

Guotai Junan (Hong Kong) Limited; Hong Kong; On-site; HKD 480,000 - 600,000; Full time

Job summary

Guotai Junan (Hong Kong) Limited is seeking a regulatory compliance professional with 3–6 years of experience to manage regulatory inquiries, reviews, and policy development. You will coordinate filings, support KYC/CRS reporting, and advise business units on compliance matters in a fast-paced financial environment.

The role requires strong English and Chinese communication, Putonghua fluency, and occasional business travel.

Qualifications

• 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 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.
• Occasional business travel may be required.

Responsibilities

• Handle enquiries from regulators, law enforcement, and counterparties on investigations, trade-related and regulatory requests.
• Conduct compliance reviews and monitor remediation progress.
• Assist in regulatory filings, internal reports, and Head Office reporting.
• Assist with compliance incidents and remediation actions.
• Draft, update, and maintain compliance policies and procedures.
• Manage KYC / due diligence questionnaires from counterparties and regulators.
• Manage FATCA/CRS reporting and data submissions.
• Support technology compliance through system projects and data governance.
• Advise business units on regulatory issues and provide ongoing compliance support.
• Support licensing and training matters; undertake ad-hoc assignments and projects.

Skills

Regulatory knowledge

Policy drafting

Analytical skills

Communication

MS Office

Bilingual English/Chinese

Putonghua

Travel flexibility

Education

University degree in Law, Finance, or Accounting

Tools

MS Office

Job description

Guotai Junan (Hong Kong) Limited is seeking a regulatory compliance professional with 3–6 years of experience to manage regulatory inquiries, reviews, and policy development. You will coordinate filings, support KYC/CRS reporting, and advise business units on compliance matters in a fast-paced financial environment.

The role requires strong English and Chinese communication, Putonghua fluency, and occasional business travel.