Compliance HK, APAC Corporate Disclosure, Licensing & Continuous Professional Training, Director/VP recruitment

Position Category: Legal/Compliance

Position Title: Compliance HK, APAC Corporate Disclosure, Licensing Continuous Professional Training, Director/VP

Job Level: Director

Location: Hong Kong - Hong Kong

Education Required: Refer to Position Description

Position Description:
Based in Hong Kong (HK), this role will be responsible for heading up the Corporate Disclosure and Licensing team for Asia Pacific (ex-Japan) and reporting to the Head of Core Compliance within Morgan Stanley's Asia Pacific Legal and Compliance Division.

This role will be in charge of processing license application (with Securities and Futures Commission (SFC)) and registration for corporates and individuals (with the Hong Kong Monetary Authority (HKMA)), ensuring fit and properness, having the appropriate license(s) to carry out relevant business activities regulated by local regulators in HK and handling continuous professional training matters.

Responsibilities will include:
- Supervise and handle licensing application processes and requirements thereof and intermediary conduct issues, specifically focusing on the HKMA and SFC
- 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
- Administer 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.

Skills Required:
- University degree and/or professional qualification preferably 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 advantageous
- Excellent verbal and written English and Chinese. Fluency in Putonghua preferred
- Ideal candidate should have a strong interest in financial services-related regulations, the ability to effectively communicate these concepts to others in a clear and concise manner, to work well at researching and analyzing information, and to develop good quality end products under minimal supervision