Description
Lead the Regulatory Engagement & Advisory Team within Group Compliance, providing enterprise-wide regulatory advice, guidance, and interpretation to support business activities, products, strategic initiatives, and transformation programs across the Group.
The role serves as a trusted advisor to business and functional teams, helping stakeholders understand applicable regulatory requirements, supervisory expectations, and emerging regulatory developments. Working closely with businesses including Markets, Operations, Legal, and Risk teams, the role translates regulatory requirements into practical and actionable guidance that supports informed decision-making and effective risk management.
The role also supports the Group's interactions with regulators by providing advice and coordination on significant regulatory matters and engagements. While maintaining strong working relationships with regulators and internal stakeholders, the role is expected to be equally effective advising working-level teams and engaging senior management on significant regulatory matters.
Responsibilities:
- Regulatory Advisory and Oversight:
- Lead the provision of enterprise-wide regulatory advice and guidance to business and functional teams across the Group.
- Provide clear, practical, and consistent interpretation of regulatory requirements, supervisory expectations, and regulatory developments.
- Develop relationships with HKEX’s regulators across jurisdictions to effectively communicate regulatory concerns and manage communications around business change.
- Support business teams in identifying and assessing regulatory implications arising from new products, business initiatives, operational changes, and strategic projects.
- Regulatory Engagement Oversight:
- Support and advise business and functional teams in their interactions with regulatory authorities.
- Maintain awareness of significant regulatory engagements and developments across the Group.
- Provide guidance on regulatory expectations, regulatory communications, and engagement approaches.
- Coordinate compliance input into responses to significant regulatory enquiries, thematic reviews, and external assessments where required.