Compliance & Legal – Regulatory Compliance – Avp/associate

Huatai International Financial Holdings Company Limited

Hong Kong, Hong Kong
Sfc licensing application handling
Regulatory report preparation expertise
Knowledge of sfo and exchange rules
The role involves overseeing SFC licensing matters including applications, terminations, and annual returns for Huatai International

Job Summary

  • The role involves overseeing SFC licensing matters including applications, terminations, and annual returns for Huatai International.
  • Candidates will lead the preparation of regulatory reports such as Short Position Reporting and Cross-boundary Wealth Management Connect returns.
  • The position requires coordinating with business units for data collection during SFC inquiries and managing firm-wide compliance declarations.

Matching Summary

The role involves overseeing SFC licensing matters including applications, terminations, and annual returns for Huatai International.

Skills & Requirements

Must-have

  • SFC licensing application handling
  • Regulatory report preparation expertise
  • Knowledge of SFO and Exchange Rules

Nice-to-have

  • Experience with local regulators
  • IT system enhancement collaboration
  • Cross-border capital market knowledge

Key Requirements

  • Minimum 3 years relevant experience in securities or financial institution
  • Degree holder in Business, Finance, Laws or related disciplines
  • Fluent in English, Cantonese and Mandarin

Work Rights

Not specified

Tailored Resume

Cover Letter