Senior Regulatory & Compliance Risk Leader

Ambition; Hong Kong Island; On-site; HKD 1,000,000 - 1,800,000; Full time

Job summary

Ambition is seeking a Senior Regulatory Manager to lead regulatory assurance reviews across Securities Services and Custody operations in Hong Kong. You will assess compliance with global standards and internal policies, interpret evolving regulations, and report findings to senior stakeholders.

You will collaborate with Compliance, Legal, Risk, and Operations to strengthen controls, monitor remediation, and promote a strong governance culture across the organization.

Qualifications

• Bachelor's degree in Finance, Business Administration, Law, Accounting, or related discipline.
• Minimum 10 years of regulatory compliance, assurance, risk management, or audit experience in financial services.
• Experience in Securities Services, Custody, Asset Servicing, or related financial markets.
• Knowledge of global regulatory frameworks (CSDR, MiFID II, SEC, FCA).
• Strong analytical, investigative, and report-writing skills.
• Excellent stakeholder management and cross-functional collaboration.
• Ability to work independently and with international teams.
• Experience with compliance monitoring tools and governance platforms.
• Ability to manage multiple priorities in a dynamic environment.

Responsibilities

• Lead and execute regulatory assurance reviews across Securities Services and Custody operations to assess compliance with applicable regulatory requirements, industry standards, and internal policies.
• Monitor and interpret regulatory developments impacting securities services, custody operations, and asset servicing activities, ensuring timely communication of key changes and associated business impacts.
• Evaluate regulatory and operational risks, identify control gaps, and recommend remediation actions to strengthen the control environment.
• Support the design, implementation, and enhancement of compliance frameworks, policies, procedures, and governance controls.
• Conduct reviews of custody processes, asset safekeeping activities, transaction processing, and client reporting to ensure adherence to regulatory obligations and risk management standards.
• Prepare and present assurance reports, findings, and recommendations to senior stakeholders, highlighting risks, trends, and opportunities for improvement.
• Partner with Compliance, Legal, Risk, Operations, and Business teams to promote a strong regulatory and governance culture across the organization.
• Support internal audits, external audits, regulatory inspections, and thematic reviews by coordinating requests and providing timely documentation.
• Monitor remediation activities arising from assurance reviews, audits, and regulatory examinations to ensure issues are addressed within timelines.
• Contribute to regulatory training and awareness initiatives to enhance employee understanding of applicable regulations and control requirements.
• Drive continuous improvement initiatives to strengthen operational controls, safeguard client assets, and enhance overall regulatory compliance effectiveness.

Skills

Regulatory compliance

Risk management

Audit

Stakeholder management

Analytical skills

Report writing

Education

Bachelor's degree in Finance/Business Administration/Law/Accounting

Job description

Ambition is seeking a Senior Regulatory Manager to lead regulatory assurance reviews across Securities Services and Custody operations in Hong Kong. You will assess compliance with global standards and internal policies, interpret evolving regulations, and report findings to senior stakeholders.

You will collaborate with Compliance, Legal, Risk, and Operations to strengthen controls, monitor remediation, and promote a strong governance culture across the organization.