Regulatory Compliance Lead

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

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.