Assistant Manager, Regulatory Compliance & Risk

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

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.