About the role
FinEx AI summary
The Regulatory Compliance VP supports business and regulatory compliance for Hong Kong and provides periodic regional coverage for North Asia offices. Responsibilities include compliance programme monitoring, KYC/AML, trade surveillance, marketing materials review, SFC fund authorisation, audits, regulatory enquiries and policy review.
Core skills Regulatory Compliance Compliance Programme Monitoring KYC/AML Trade Surveillance Staff Trading Marketing Materials Review
Role details
Work style On-Site
Posted 12 Nov 2026
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