Regional Regulatory Compliance Director(Greater China)

Morgan McKinley
Hong Kong, Hong Kong
Up to HKD0.00 per annum
Oct 27, 2020
Nov 25, 2020
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Job Responsibilities:
  • Manage regulatory requests and regulatory exams in Hong Kong and Taiwan. This includes liaising with regulators and internal stakeholders.
  • Maintain strong relationships with regulatory bodies and internal stakeholders
  • Handle internal queries on regulatory requirements and compliance policies and procedures
  • Advise on employee licensing matters in Hong Kong, monitor compliance with ongoing, training and filing requirements
  • Monitor regulatory development, conduct impact analysis and propose/take the required course of actions for the region
  • Conduct compliance training
  • Provide quality and timely input to compliance and management reporting
  • Participate in and provide compliance input at internal governance meetings
  • Assist with email surveillance in Chinese language and compliance monitoring work in relation to Greater China as and when required
  • Participate in compliance projects for the Greater China region

Job Requirement:
  • 10-15 years of compliance or legal experience in a global financial institution or regulatory experience
  • Good knowledge of financial markets and understanding of local regulatory requirements in Hong Kong and China
  • Experience in directly interacting with regulators, including regulatory exams
  • Hands-on experience in handling licensing applications in Hong Kong a plus
  • Understanding of risk governance, supervision and control framework, concepts of control design and control operating effectiveness
  • Undergraduate degree required
  • CFA or compliance/legal qualification a plus
  • Excellent written and oral communications skills in English and Chinese (Cantonese and Mandarin)
  • Clear focus in developing a long-term career in the Compliance area with a credit rating agency
  • Appetite to operate in a hands-on manner on a day-to-day basis
  • Mature personality and positive attitude