Description
A global financial services firm headquartered in New York City serving a diversified group of corporations, governments, financial institutions, and individuals. The Company also operates in 36 countries around the world, with over 600 offices and a workforce of over 60,000.
Responsibilities
Looking for prospective candidate to head up the Corporate Disclosure and Licensing Team.
The prospective candidate will report to the Head of Core Compliance within our Legal and Compliance Division. A key function within the Core Compliance is to process SFC license application and HKMA registration for corporate and individuals, ensuring fit and properness, having the appropriate license(s) to carry out relevant business activities regulated by HK regulators and handling continuous professional training matters. Furthermore, the prospective candidate will be responsible for corporate disclosure in Asia Pacific (ex-Japan).
Responsibilities will include:
* Supervise and handle licensing application processes and requirements thereof and intermediary conduct issues, specifically focusing on HK Monetary Authority and Securities and Futures Commission
* Manage corporate disclosure requirements and process relating to various licensed entities in the Asia Pacific region
* Liaise with regulators regarding routine and ad-hoc issues relating to individual and intermediary matters, including interviewing applicants and licensees
* Work with Human Resources, Litigation, Business Unit Management, Senior Management, etc. to inquire into complaints or disclosure matters against licensed persons
* Assist in developing licensing and intermediary policies, procedures and relevant projects, including monitoring continuous professional training, annual return, notification etc.
* Provide advice and training to employee on licensing, examination requirements and continuous professional training matters
* Update/Draft compliance manual and procedures to reflect regulatory or business changes
* Develop surveillance and monitoring programs to ensure full compliance with regulatory requirements
* Administrating various registration systems by coordinating with Information Technology, where required.
* Provide advice on licensing implication in relation to new product approval (NPA), business changes etc.
Requirements
* University degree and/or professional qualification preferable in Accounting, Law, Finance or Business;
* At least 5 years of solid and relevant working experience;
* Must have substantial experience with a financial institution or a regulator covering licensing matters
* In-depth knowledge of HKMA and the SFC licensing regime, including fit and proper checks, continuous professional training.
* Good analytical, interpersonal and communications skills
* Proactive and ability to work in a team environment, as well as independently
* Knowledge of licensing requirements in other Asia Pacific jurisdiction is helpful
* Excellent verbal and written English and Chinese. Fluency in Putonghua will be viewed as an advantage.
Legal and Compliance HK, Core Compliance Corporate Disclosure and Licensing, Senior Manager - Hong Kong
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