The successful candidate will assist Regional Head of Compliance Regulatory Affairs Asia-Pacific in a board area of regional responsibilities in licensing, market access, compliance policies implementation and training coordination:


Licensing and Market Access:

  • Manage APAC licensing & registration following SG governance obligations
  • Provide compliance advisory for senior management and business lines on all HKMA and SFC licensing matters
  • Review, interpretation and communication of HK regulatory rules and regulations as well as firm policies
  • Handle licensing applications, declarations and notifications in a timely manner
  • Manage APAC market accesses on all Asian Markets where SG has a membership for all worldwide traders

APAC Policies Implementation and Coordination:

  • Define the APAC Compliance annual policies implementation plan and contribute to group policies initiatives following SG governance
  • Establish regional policies framework
  • Contribute to the development and maintenance of Compliance policies and procedures

APAC Compliance Training Coordination:

  • Define the APAC Compliance annual training plan and contribute to group mandatory training initiatives following SG governance
  • Deliver compliance training to employees

Other Contributions:

  • Contribute to the permanent control framework
  • Contribute to global and regional projects and initiatives, as and when required.
  • This challenging role will provide the successful candidate with a unique opportunity to apprehend the various businesses of a top-tier investment bank and will be evolving at the forefront of regulatory developments.
  • The position will involve constant interaction with senior management, business lines, and various compliance and Operational teams.

Requirements (Must Have):


  • Minimum 8-10 years of experience in Central Compliance or equivalent experience
  • Experience working on international or multi-cultural organization
  • Managerial experience essential

Technical Skills:

  • Conversant with HK laws, and HKMA and SFC regulations
  • Good knowledge of compliance framework and financial products
  • Strong written and oral communication

Competencies :


  • Self-motivated, good leadership skill and a team player
  • Strong communications and influencing skills

Result Orientation:

  • Ability to report in due time, identify priorities and address difficult situations with autonomy
  • Pro-activity and solution-oriented, proposition-making mindset


Good interpersonal skills


Excellent command of spoken and written English and Chinese is required


  • MSc in Business, Finance or other relevant field
  • Previous experience in regulatory Compliance and / or regional coverage is preferred

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