Regional Regulatory Compliance Director(Greater China)

Employer
Morgan McKinley
Location
Hong Kong, Hong Kong
Salary
Up to HKD0.00 per annum
Posted
Oct 27, 2020
Closes
Nov 25, 2020
Ref
8155654
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
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