Compliance Specialist Senior

Capital Partners Mortgage LLC

Hong Kong, Hong Kong
On-site
Apacxj distribution sales marketing compliance
Regulatory filings and surveys
Drafting compliance policies and procedures
Capital Partners Mortgage LLC is seeking a Senior Compliance Specialist for its Hong Kong office. The role involves ensuring compliance in distribution, sales, and marketing while managing regulatory filings and enhancing compliance processes

Job Summary

  • Responsible for researching, collecting and reviewing documents to support distribution, sales and marketing (“DSM”) compliance in APACxJ region and complete and submit regulatory filings and surveys to regulators in APACxJ region.
  • Reviews and approves marketing materials of APACxJ and prepares, reviews, manages and files required statutory documentation to regulators in APACxJ relating to appointed representatives and firm-wide licensing obligations.
  • Enjoy generous time-away and health benefits from day one, with the opportunity for flexible work options.

Matching Summary

Match Score: 85

Capital Partners Mortgage LLC is seeking a Senior Compliance Specialist for its Hong Kong office. The role involves ensuring compliance in distribution, sales, and marketing while managing regulatory filings and enhancing compliance processes.

Skills & Requirements

Must-have

  • APACxJ distribution sales marketing compliance
  • regulatory filings and surveys
  • drafting compliance policies and procedures
  • researching regulatory requirements
  • communication with APACxJ regulators

Nice-to-have

  • fostering a strong sense of belonging
  • celebrate differences
  • investing in a culture
  • empower associates to build successful careers

Key Requirements

  • Degree holder
  • Minimum seven years of compliance experience
  • Proficient in reading and writing Traditional and Simplified Chinese
  • Ability to translate English to Traditional and Simplified Chinese

Work Rights

Not specified

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