Compliance & Legal – Business Advisory Compliance – AVP/VP

About Us:
Huatai International Financial Holdings Company Limited (“Huatai International” or “the Company”), is the only overseas wholly-owned or controlled subsidiary of Huatai Securities. Huatai International is the Huatai Group’s international arm which plays as a crucial role in the group's internationalization strategy by:
a) not only providing offshore capital market services (and a global business platform) but also provides onshore clients with valuable cross-border capital market services (aligned with the mainland China government’s policies and commercial intentions);
b) actively making use of Huatai Securities’ leading position, distribution network and customer base in mainland China;
c) integrating on a global basis across many jurisdictions and regions, a successful and fully integrated international financial platform with innovative financial services solutions.

Huatai International operates as a holding company for consolidating all of the group’s cross-border businesses and companies under one umbrella, offering a truly unified and international business platform. In recognition of such international strength, the renowned international rating agency Standard and Poor’s has assigned Huatai International a “BBB+” rating (for long term) and “A-2” (for short-term).

Job Description:

• Maintain the daily working relationship with SFC and other regulatory bodies, including but not limited to, handling regulatory investigations, inquiries and referred complaints, preparing the submission of compliance reporting to regulators and coordinating regulatory onsite/offsite reviews, focusing on Fintech and Retail and PWM businesses.
• Provide practical advices to support the ongoing operations and future development of the businesses regarding applicable rules, regulations and regulatory expectations
• Establish and maintain Compliance policies and procedures to ensure business operations and practice are consistent with regulatory requirements
• Closely follow the development of relevant laws and regulations and provide analysis and highlights to senior Compliance management
• Ensure staff members and management to be updated with the latest regulatory and internal policy requirements by conducting workshops and ad hoc/routine training
• Review new business/product initiatives and provide compliance advices about regulatory/licensing requirements, and obtain regulators’ approval as required before the rollout of the new services
• Handle any ad-hoc compliance tasks assigned by the Head of Regulatory Compliance

Qualifications:

• University degree or above from top ranked universities
• Minimum 8 years of internal audit/compliance review/regulatory compliance experience, with exposure to investment banking/ securities industry operations
• Well versed with relevant regulations and market practices applicable to securities firms
• Hands-on experience in interacting with regulators and other regulatory bodies
• Mature, thoughtful, strong analytical and problem-solving skills with an aptitude for technology
• Proactive and strong team player with strong interpersonal, coordination and communication skills
• Bilingual with proficiency in both Chinese (Mandarin) and English languages
• Knowledge in virtual asset and virtual asset related products and the relevant regulatory requirements would be a plus