Senior Regulatory Compliance Manager

国泰君安国际 Guotai Junan International; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Benefits offered by this job

Fringe benefits

Attractive remuneration package

Job summary

Guotai Junan International seeks a compliance professional in Hong Kong to handle regulatory inquiries, perform reviews, and support reporting to Head Office. The role emphasizes KYC/DQ management, FATCA/CRS, and assisting with policy development.

Minimum 3–6 years in financial compliance, with knowledge of SFC, SFO, HKEX, and PDPO. English and Chinese proficiency required; Putonghua preferred. Some travel may be needed.

Qualifications

• University degree in Law, Finance, Accounting, or other relevant disciplines.
• 3–6 years' experience in central, regulatory, or technology compliance within the financial industry.
• Experience with SFC and HKEX dealings is highly preferred.
• Solid knowledge of SFC regulations, SFO, HKEX rules, and the PDPO.
• Knowledge of FATCA and CRS regulatory requirements.
• Experience handling regulatory inquiries, inspections, and policy drafting.
• Detail-oriented with strong analytical, communication, and organizational skills.
• Proficiency in Microsoft Office
• Excellent command of written and spoken English and Chinese; Putonghua preferred.
• Occasional business travel may be required.

Responsibilities

• Handle enquiries from regulators, law enforcement, and counterparties on investigations and regulatory questionnaires.
• Conduct compliance reviews and monitoring, identify gaps, and track remediation progress.
• Support preparation and maintenance of regulatory filings and Head Office reporting.
• Assist with compliance incidents and oversee remedial actions.
• Draft, update, and maintain compliance policies in line with regulatory developments.
• Manage KYC / due diligence questionnaires from counterparties and regulators.
• Handle FATCA/CRS reporting including data validation and liaison with internal/external parties.
• Support technology compliance through enquiries, projects, and system implementations.
• Advise business units and back-office on compliance issues and regulatory standards.
• Support licensing and training matters; undertake ad-hoc assignments as needed.

Skills

Analytical skills

Communication skills

Organizational skills

English & Chinese proficiency

Education

University degree in Law/Finance/Accounting

Tools

Microsoft Office

Job description

Guotai Junan International seeks a compliance professional in Hong Kong to handle regulatory inquiries, perform reviews, and support reporting to Head Office. The role emphasizes KYC/DQ management, FATCA/CRS, and assisting with policy development.

Minimum 3–6 years in financial compliance, with knowledge of SFC, SFO, HKEX, and PDPO. English and Chinese proficiency required; Putonghua preferred. Some travel may be needed.