Key responsibilities:

• Lead SFC licensing activities, including applications, terminations, notifications, and annual returns, ensuring robust regulatory compliance and governance
• Manage regulatory enquiries, investigations, and compliance notifications, partnering with business units and regulators to deliver timely, accurate outcomes
• Oversee firm-wide compliance declarations and Continuing Professional Training (CPT), strengthening regulatory accountability and employee compliance
• Partner with cross-functional teams and senior management to provide regulatory guidance, deliver compliance reporting, and support effective risk management
• Drive continuous improvement of compliance frameworks by monitoring regulatory changes, strengthening regulator relationships, and enhancing internal policies

Candidate profile:

• Degree in Business, Finance, Law, or a related discipline, with 1-2 years' compliance experience in a regulator, securities firm, or financial institution
• Strong knowledge of the SFO, SFC Code of Conduct, and Rules of the Exchange, with the ability to interpret and apply regulatory requirements
• Proven experience working with local regulators, supporting regulatory enquiries, audits, investigations, and compliance reporting
• Proficient in Microsoft Word, Excel, and general IT applications, with strong attention to detail and documentation skills
• Fluent in English, Cantonese, and Mandarin, with excellent communication and stakeholder management skills