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Senior Manager, Enforcement

• Play a pivotal role in upholding market integrity by enforcing regulatory standards.
• Drive improvements in surveillance and enforcement processes, contributing to a fair and transparent marketplace.
• Join a dynamic team committed to excellence, collaboration, and long-term market development.

Our client is seeking an experienced enforcement professional to join their team in Hong Kong. In this role, you will play a critical part in upholding market integrity by enforcing regulatory standards, conducting inspections, and supporting thematic reviews.

The key responsibilities for this position are as follows:

• Support the execution of annual attestation and inspection programs, as well as targeted thematic reviews, to ensure compliance with regulatory requirements.
• Prepare management and regulatory reports, including data analytics and presentation materials, to support decision-making.
• Perform UAT testing and contribute to the implementation of rule enforcement systems.
• Serve as a liaison with regulators, market participants, and internal teams to address enforcement-related matters.
• Undertake additional assignments as required to support team objectives.

Successful applicants will have the following skills and experience:

• University degree in Business Administration, Finance, Law, or related disciplines.
• Minimum 8 years of relevant experience, preferably in audit, inspection, enforcement, or compliance roles within regulators or financial institutions.
• Strong grasp of securities and futures regulations, exchange rules and enforcement practices.
• Self-starter with strong multitasking abilities, attention to detail, and problem-solving skills.
• Excellent interpersonal and presentation skills.
• Proficiency in written and spoken English and Cantonese.

Information provided is for recruitment purposes only.

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