Regulatory Ops Lead – Securities & Compliance

Public Bank Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Public Bank Limited is seeking a senior Compliance Manager in Hong Kong to oversee day-to-day operations, monitor securities trading, and drive policy implementation for SFO compliance.

The role requires a degree with 5+ years in the investment industry and 2+ years in management, plus HKSI licensing or equivalent. Proactive, hands-on leadership and strong stakeholder communication are essential.

Qualifications

• Degree holder with 5+ years in investment industry, incl. 2+ years in management.
• Hands-on operations with strategic oversight.
• Strong understanding of the Securities and Futures Ordinance (SFO).
• Excellent relationship management and communication skills.
• Experience handling Careful Discretionary Orders preferred.
• Licensed with HKSI exams (Paper 1, 7 & 8) or equivalent.
• Qualified to act as Responsible Officer to supervise RA1 activities is an advantage.

Responsibilities

• Support policy implementation and regular review to ensure SFO compliance.
• Supervise day-to-day operations and monitor securities trading activities.
• Assist with HKMA/SFC licensing registration processes.
• Observe regulatory changes and propose follow-up actions.
• Coordinate communications with HKMA, SFC and HKEX and respond as needed.
• Drive system enhancement and participate in ad-hoc operational initiatives.

Skills

Regulatory compliance

Relationship management

Analytical skills

Communication

Operational oversight

Securities trading

Education

Bachelor's degree

Tools

HKSI Licensing

Job description

Public Bank Limited is seeking a senior Compliance Manager in Hong Kong to oversee day-to-day operations, monitor securities trading, and drive policy implementation for SFO compliance.

The role requires a degree with 5+ years in the investment industry and 2+ years in management, plus HKSI licensing or equivalent. Proactive, hands-on leadership and strong stakeholder communication are essential.