Associate Director, Central Compliance

Responsibilities:

• Manage and handle enquires from the regulators on investigation requests, trade-related enquiries, demand for information, business related enquiries and inspections. Be the primary contact point with the regulators;

• Supervise the team to handle statutory regulatory reporting under the Securities and Futures Ordinance (SFO) including Disclosure of Interests, and Short Position Reporting;

• Advice on SFC licensing /Manager-In-Charge requirements;

• Advice business units and back offices on compliance issues and provide support;

• Update and maintain compliance policy and procedure manuals;

• Assist the Head of Compliance in ad hoc projects on new regulatory changes/development and business related projects;

• Ensure day-to-day BAU is carrying out effectively and efficiently and revamp internal workflow where necessary (staff dealing, training, internal reporting, complaint handling, etc); and

• Supervise the team to handle FATCA/CRS reporting

Requirements:

• University degree holder in Finance or related discipline;

• 8-10 years compliance exposure in dealing with enquiries from the SFC on enforcement, intermediaries supervision and licensing issues is an advantage;

• Prefer candidates who have worked in the SFC (Intermediaries Supervision or Enforcement) previously;

• Have certain team management experience;

• Sound knowledge in SFO and HKEX rules;

• Sound knowledge in financial products;

• Proficiency in using Microsoft Office; and

• Proficiency in both written and spoken English and Chinese, fluency in Putonghua is a must.

We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary by pressing "Apply now" or send it to ***********@gtjas.com.hk.

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

Guotai Junan International (Stock Code: 1788.HK) is the first Chinese securities company listed on Hong Kong Stock Exchange by way of IPO. Based in Hong Kong, we provide diversified financial services including wealth management, brokerage, corporate finance, loans and financing, asset management and financial products. Through the systematic management and training, you will have the opportunity to maximize your talents on our board platform and empower your future with GTJAI.

Information :

• Company : Guotai Junan International Holdings Limited
• Position : Associate Director, Central Compliance
• Location : Central and Western Distr., Hong Kong Island
• Country : HK