Assistant Manager, Compliance & Regulatory Affairs

Guotai Junan International Holdings Limited; Hong Kong; On-site; HKD 600,000 - 1,200,000; Full time

Job summary

Guotai Junan International Holdings Limited in Hong Kong seeks an experienced regulatory compliance professional to handle inquiries from regulators and counterparties, conduct reviews, and support regulatory filings and reporting.

The role requires 3–6 years of central/regulatory compliance experience, strong knowledge of SFC/HKEX regulations and PDPO, and proficiency in English and Chinese with Putonghua. Occasional travel may be required.

Qualifications

• University degree in Law, Finance, Accounting or related discipline.
• 3–6 years’ experience in central, regulatory, or technology compliance within financial industry.
• Exposure to SFC and HKEX, enforcement, supervision, licensing preferred.
• Knowledge of SFC regulations, SFO, HKEX rules and PDPO.
• Knowledge of FATCA and CRS regulatory requirements.
• Experience handling regulatory enquiries, inspections, reviews, and policy drafting.
• Strong analytical, communication, and organizational skills.
• Proficiency in English and Chinese (Putonghua required).

Responsibilities

• Handle enquiries from regulators, law enforcement, and counterparties on investigation requests and regulatory questionnaires.
• Conduct compliance reviews and monitoring to identify gaps and monitor remediation.
• Support preparation of regulatory filings, internal reports, and Head Office reporting.
• Assist with compliance incidents, breaches, and remedial actions.
• Draft and maintain compliance policies and procedures aligned with regulatory developments.
• Manage KYC / DDQ responses from counterparties and regulators.
• Manage FATCA/CRS reporting, data validation, submissions, and liaison with internal/external parties.
• Support technology compliance through enquiries, projects, and system implementations.
• Advise business units on regulatory standards and provide ongoing support to ensure adherence.
• Support licensing and training matters; undertake ad-hoc projects as assigned.
• Occasional business travel may be required.

Skills

Regulatory compliance

Regulatory reporting

Policy drafting

Stakeholder communication

Attention to detail

MS Office

Bilingual English/Chinese

Education

University degree in Law/Finance/Accounting

Tools

MS Office

Job description

Guotai Junan International Holdings Limited in Hong Kong seeks an experienced regulatory compliance professional to handle inquiries from regulators and counterparties, conduct reviews, and support regulatory filings and reporting.

The role requires 3–6 years of central/regulatory compliance experience, strong knowledge of SFC/HKEX regulations and PDPO, and proficiency in English and Chinese with Putonghua. Occasional travel may be required.