Central Compliance Manager — Regulators & Policy

Guotai Junan (Hong Kong) Limited; Hong Kong; On-site; HKD 700,000 - 950,000; Full time

Job summary

Guotai Junan (Hong Kong) Limited is seeking an AM/Manager in Central Compliance to handle regulatory enquiries, perform compliance reviews, and support filings and reporting. The role requires a degree in law, finance or accounting and 3–6 years of relevant finance-industry experience, with SFC/HKEX exposure preferred.

Candidates should be proficient in English and Chinese, including Putonghua, and be capable of multi-tasking with strong analytical and communication skills.

Qualifications

• University degree in Law, Finance, Accounting or related field.
• Strong analytical, communication, and organizational abilities.
• Excellent command of written and spoken English and Chinese; Putonghua required.

Responsibilities

• Handle enquiries from regulators, law enforcement, counterparties and internal/external stakeholders on investigations and regulatory questionnaires.
• Conduct compliance reviews and monitoring to identify gaps and track remediation progress.
• Assist in regulatory filings, internal reports and Head Office reporting.
• Manage KYC/ DDQ responses from counterparties and regulators.
• Oversee FATCA/CRS reporting and liaise with internal/external parties.

Skills

Analytical skills

Communication skills

Organizational skills

English & Chinese proficiency

Putonghua

Education

University degree in Law, Finance, Accounting

Tools

Microsoft Office

Job description

Guotai Junan (Hong Kong) Limited is seeking an AM/Manager in Central Compliance to handle regulatory enquiries, perform compliance reviews, and support filings and reporting. The role requires a degree in law, finance or accounting and 3–6 years of relevant finance-industry experience, with SFC/HKEX exposure preferred.

Candidates should be proficient in English and Chinese, including Putonghua, and be capable of multi-tasking with strong analytical and communication skills.