Hong Kong Licensing and Registration Compliance Officer
January 15, 2023
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.
We Offer The Hong Kong Licensing and Registration Compliance Team sits with APAC Compliance within the Chief Compliance Office. Our primary mandate is to handle regulatory compliance matters related to the business in Hong Kong legal entities. Key roles include:
Assist with regulatory inquiries, surveys, consultations, off-site and on-site reviews, and examinations from/by applicable regulators. This may include coordination with various internal business partners
Foster good working relationship with key regulatory contacts at both the HKMA and SFC
Identify the licensing requirements for legal entities, businesses and individual employees in all lines of business within Hong Kong and provide relevant advice to ensure they meet applicable licensing requirements
Review relevant regulatory submissions together with other Compliance subject matter experts (as relevant) to ensure sufficiency of response and ensure timely submission
Maintain updated record of the licensed corporations including directors, MICs etc., handle corporation disclosure and other licensing issues; Maintain similar updated records with respect to applicable Authorized Institutions within in the Group
Support various businesses and individuals to help them understand and meet CPT requirements timely and meet regulatory CPT tracking requirements. Ensure all licensees fulfill their CPT requirements
Ensure all licensing fees are paid timely
Review outsourcing applications for sufficiency and advise as to materiality assessment. Work with Compliance SMEs to discuss material outsourcing proposals with regard to meeting Hong Kong regulatory expectations.
Your future colleagues
The team sits within the country coverage team for Hong Kong, which acts as the key liaison point with business, risk management, legal and other COO functions on regulatory matters. You will work closely together with the wider Hong Kong based Compliance teams to cultivate strong team-work and a collaborative environment. We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global cultural values.
N/A - pending TWWW agreement
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.