Compliance Advisory - Senior Associate

• Licensing & Registration: Execute licensing registrations and updates for both the institution and individuals, ensuring full compliance with regulatory standards and facilitating efficient approval processes
• Regulatory Advisory: Provide high-quality advice on regulatory communications and general compliance analysis to business stakeholders
• Obligation Tracking: Monitor regulatory developments and implement robust tracking mechanisms to ensure effective management of all relevant regulatory obligations
• Reporting & Governance: Prepare comprehensive management information (MI) reports regarding compliance risks and the regulatory landscape
• present impactful updates and recommendations to management for informed decision-making
• Risk Management: Proactively identify and escalate critical regulatory risks to the LCO HK, developing practical solutions and actionable plans to mitigate risks
• Project Coordination: Coordinate global and regional compliance initiatives, working closely with group companies and internal departments
• Culture & Training: Support staff training on compliance policies and foster a strong culture of compliance, ethical conduct, and accountability across the organization

• Degree holder in Law, Finance, Business, Accounting, or a related discipline
• 3-5 years of relevant experience in Compliance, preferably within the Banking or Financial Services sector or Big 4
• Basic knowledge of local laws and regulations related to banking practices (e.g., HKMA/SFC requirements)
• Strong business acumen with effective organizational and prioritization skills
• Ability to work independently and thrive in a fast-paced, high-pressure environment
• Excellent command of written and spoken English and Chinese is highly preferred

Big four risk advisory background