Regulatory Compliance Manager, CMSL

We are partnering a fintech company in their search for a Regulatory Compliance Manager. In this role, you will oversee Compliance pertaining to Capital Markets Services regulations. You will manage end-to-end regulatory advisory, governance, monitoring, licensing, regulatory engagement and support future expansion into other regional markets.

You will be involved in regulatory advisory for MAS regulations such as Securities and Futures Act (SFA), Financial Advisers Act (FAA), Collective Investment Schemes (CIS) and Market-Operator obligations etc. You will oversee the compliance framework, monitoring program, regulatory reporting and incident management. You will also be involved in product compliance and fund lifecycle compliance.

The ideal candidate should possess around 6-8 years of regulatory advisory experience with a background in fund/asset management, securities, derivatives or recognised market operator. Strong knowledge of MAS requirements for CMS or RMO compliance is essential, while familiarity with digital assets and Hong Kong SFC regulations would be advantageous.