Central Compliance Manager — Regulatory & Policy Lead

Guotai Junan International Holdings Limited; Hong Kong; On-site; HKD 1,000,000 - 1,500,000; Full time

Job summary

Guotai Junan International Holdings Limited seeks an AM/Manager in Central Compliance within the Legal & Compliance Department to manage regulatory enquiries, oversee compliance reviews, and support filings and remediation actions.

Ideal candidates have 3–6 years in financial compliance, familiarity with SFC/HKEX, and strong English and Chinese communication skills; Putonghua is preferred. Occasional travel may be required.

Qualifications

• University degree in Law, Finance, Accounting or related field.
• Minimum 3–6 years in central/regulatory/technology compliance in financial services.
• Experience with SFC/HKEX, enforcement, licensing preferred.
• Solid knowledge of SFC regulations, SFO, HKEX rules and PDPO.

Responsibilities

• Handle enquiries from regulators, law enforcement, and counterparties on investigations and regulatory requests.
• Conduct compliance reviews, monitor remediation progress and identify gaps.
• Prepare regulatory filings, internal reports and Head Office reporting.
• Assist with compliance incidents and remedial action implementation.
• Draft and maintain compliance policies and procedures in line with regulations.

Skills

Analytical thinking

Communication skills

Organizational skills

Microsoft Office

English & Chinese

Putonghua

Education

University degree in Law, Finance, Accounting

Tools

Microsoft Office

Job description

Guotai Junan International Holdings Limited seeks an AM/Manager in Central Compliance within the Legal & Compliance Department to manage regulatory enquiries, oversee compliance reviews, and support filings and remediation actions.

Ideal candidates have 3–6 years in financial compliance, familiarity with SFC/HKEX, and strong English and Chinese communication skills; Putonghua is preferred. Occasional travel may be required.