Regional Regulatory Compliance Director(Greater China)
- Employer
- Morgan McKinley
- Location
- Hong Kong, Hong Kong
- Salary
- Up to HKD0.00 per annum
- Closing date
- Dec 19, 2020
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- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Job Responsibilities:
Job Requirement:
- 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
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