Assistant Manager/ Manager – Central & Technologies Compliance

国泰君安国际 Guotai Junan International; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

Guotai Junan International is seeking a Regulatory Compliance professional in Hong Kong with 3–6 years in central, regulatory or technology compliance within financial services. You will handle enquiries from regulators, conduct reviews, support filings, and oversee remediation actions, policy drafting, and KYC/CRS reporting.

The role requires fluency in English and Chinese, knowledge of SFC/HKEX rules, PDPO, and strong analytical and communication skills. Occasional travel may be required.

Qualifications

• University degree in Law, Finance, Accounting or related disciplines.
• 3–6 years in central, regulatory or technology compliance in financial services.
• Experience dealing with SFC and HKEX preferred.
• Knowledge of SFC, SFO, HKEX, and PDPO.
• Strong analytical, communication and organizational skills; detail oriented.

Responsibilities

• Handle regulatory and business enquiries from regulators, law enforcement, and counterparties.
• Conduct compliance reviews and monitor remediation progress.
• Support regulatory filings, internal reports and Head Office reporting.
• Assist in handling compliance incidents and remedial actions.
• Draft and maintain compliance policy and procedure manuals.
• Manage KYC/DDQ responses from counterparties and regulators.
• Oversee FATCA/CRS reporting and data validation.
• Advise business units on regulatory standards and training matters.
• Support licensing and ad-hoc assignments as needed.
• Coordinate technology compliance inquiries and data governance.

Skills

Analytical skills

Communication skills

Organizational skills

Attention to detail

Education

University degree in Law, Finance, Accounting or related disciplines

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 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.)