Assistant Manager/ Manager – Central & Technologies Compliance

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

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.