Description

Responsibilities:

1. Handle licensing matters across SFC, Insurance Authority, and MPFA regimes, including applications, renewals, variations, and ongoing regulatory filings
2. Support communications with internal stakeholders and regulators on licensing-related submissions and follow-ups
3. Manage and respond to KYC / due diligence questionnaires (DDQ) from counterparties, business partners, and regulators in a timely and accurate manner
4. Maintain and update licensing records, registers, and internal tracking tools
5. Assist in organizing and delivering compliance training programs, including onboarding, refresher training, and regulatory updates
6. Support preparation and maintenance of training materials and internal compliance communications
7. Support maintenance of compliance policies and procedures in line with regulatory requirements and internal standards
8. Assist in preparing regulatory filings, internal reports, and Head Office reporting
9. Assist in handling regulatory enquiries, inspections, and routine communications with regulators and external parties
10. Support compliance reviews, monitoring exercises, and internal control assessments where required
11. Undertake ad-hoc assignments and projects as assigned by management

Requirements:

1. University degree in Law, Finance, Accounting, or other relevant disciplines is preferred
2. Minimum 1 year of relevant experience in compliance, licensing, or regulatory-related functions within financial services
3. Hands-on experience in SFC licensing is a must; exposure to Insurance Authority and/or MPFA licensing is an advantage
4. Detail-oriented, well-organized, and able to manage multiple tasks independently with minimal supervision
5. Strong communication and stakeholder coordination skills
6. Proactive, responsible, and able to work in a fast-paced environment
7. Proficiency in Microsoft Office applications
8. Good command of written and spoken English and Chinese, including Putonghua
9. Occasional business travel may be required

We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply" or by sending it to [email protected].

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

Guotai Junan International (Stock Code: 1788.HK) is the first Chinese securities company listed on Hong Kong Stock Exchange by way of IPO. Based in Hong Kong, we provide diversified financial services including wealth management, brokerage, corporate finance, loans and financing, asset management and financial products. Through the systematic management and training, you will have the opportunity to maximize your talents on our board platform and empower your future with GTJAI.