Senior Securities Compliance & SFC Liaison

TalentQuest HR Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

TalentQuest HR Limited seeks energetic compliance professionals to join a team handling SFC-related matters in a fast-paced setting. You will investigate cases, coordinate regulatory submissions and manage licensing obligations across departments, ensuring alignment with securities regulations and internal controls.

The role requires strong English and Chinese communication skills, with experience in brokerage and asset management environments.

Qualifications

• 7+ years of compliance experience in securities.
• Experience with SFC regulatory compliance.
• Familiar with brokerage and asset management operations.
• Excellent English and Chinese communication skills.

Responsibilities

• Serve as the primary contact for SFC-related matters and investigate cases.
• Coordinate information requests, prepare submissions and follow up on issues.
• Oversee day-to-day licensing arrangements and advise on regulatory obligations.
• Assess contractual documents from a legal and regulatory perspective for risks and amendments.
• Collaborate with departments to strengthen compliance measures and improve controls.
• Coordinate audits, regulatory reviews and inspections with external bodies.
• Develop and deliver compliance education programs for employees.

Skills

SFC compliance

Regulatory investigations

Audit coordination

English and Chinese

Education

Bachelor's degree

Job description

TalentQuest HR Limited seeks energetic compliance professionals to join a team handling SFC-related matters in a fast-paced setting. You will investigate cases, coordinate regulatory submissions and manage licensing obligations across departments, ensuring alignment with securities regulations and internal controls.

The role requires strong English and Chinese communication skills, with experience in brokerage and asset management environments.