Assistant Manager/ Manager – Central & Technologies Compliance

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

Job summary

Guotai Junan (Hong Kong) Limited requires a compliance professional with 3–6 years in central/regulatory or technology compliance within finance. You will handle regulator inquiries, perform reviews, draft policies, and support KYC/CRS and FATCA reporting.

Role involves liaising with regulators, managing licensing and training, and assisting with regulatory filings. Strong English/Chinese communication, Putonghua, and MS Office skills are essential.

Qualifications

• University degree in Law, Finance, or Accounting.
• 3–6 years' experience in central, regulatory, or technology compliance within finance.
• Experience dealing with SFC and HKEX; enforcement, supervision, or licensing is preferred.
• Knowledge of SFC regulations, SFO, HKEX, and PDPO.
• Strong communication and analytical skills; detail-oriented.
• Willingness for occasional travel.

Responsibilities

• Handle enquiries from regulators, law enforcement, and counterparties on investigations and regulatory questionnaires.
• Conduct compliance reviews and monitor remediation progress.
• Assist with regulatory filings, internal reports, and Head Office reporting.
• Draft and update compliance policies and procedures.
• Manage KYC / due diligence questionnaires from counterparties, business partners, and regulators.
• Support FATCA/CRS reporting and data validation.
• Support technology compliance projects and system implementations.
• Advise business units on compliance issues and ensure regulatory standards.
• Manage licensing and training matters as needed.
• Undertake ad-hoc assignments and projects as assigned by management.

Skills

Regulatory compliance

Attention to detail

Analytical ability

Communication skills

Putonghua proficiency

MS Office proficiency

Education

University degree in Law, Finance, Accounting, or other relevant disciplines

Tools

Microsoft Office

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.

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.