Job Summary
This role is suited to a regulatory compliance or legal professional with a strong proven track record in financial services and digital asset licensing who is passionate about applying that expertise to a dynamic, high-growth environment. You will act as a key partner to the CCO, assisting in the end-to-end management of our compliance frameworks and the scaling of our global licensing footprint.
Responsibilities
- Lead the development and execution of regulatory license application strategies to secure and maintain licenses across multiple jurisdictions.
- Prepare, submit, and manage regulatory filings and correspondence to ensure ongoing compliance with financial regulators.
- Serve as the primary liaison during regulatory enquiries, audits, and supervisory engagements to deliver timely and accurate responses.
- Track and manage licensing obligations and renewal schedules for Group entities in Australia and offshore financial centers.
- Conduct research and analyze licensing and regulatory strategies globally to support business expansion initiatives.
- Develop, implement, and maintain compliance and risk management frameworks aligned with applicable laws and regulatory expectations.
- Draft, review, and update compliance policies, procedures, and operational guidelines to ensure regulatory adherence across business units.
- Identify gaps in internal controls and recommend improvements to enhance governance maturity and risk mitigation.
- Monitor global regulatory developments and translate new laws into actionable internal implementation plans.
- Prepare compliance reports for senior management to support informed strategic decision-making.
- Review and advise on client agreements, disclosures, marketing materials, and external communications to ensure regulatory compliance and mitigate risks.
- Identify regulatory risks related to new products, partnerships, or market expansions and propose effective mitigation strategies.
- Support internal investigations by providing regulatory guidance and assessing potential exposure.
- Coordinate with external counsel on complex regulatory matters to ensure comprehensive risk management.
- Assist in drafting regulatory submissions, responses to notices, and remediation plans to address compliance issues.
- Contribute to strengthening corporate governance standards and internal controls to support sustainable business growth.
- Design and deliver regulatory and compliance training programs to enhance employee awareness and foster a strong compliance culture.
Preferred competencies and qualifications
- Minimum 5 years of relevant experience in regulatory compliance or governance within financial institutions, fintech, or digital asset platforms.
- Proven experience with OTC trading, crypto exchanges, or payment platforms.
- Bachelor's degree in Law, Finance, Business, or a related discipline.
- Demonstrated ability to work autonomously and create processes from the ground up in a high-growth environment.
- Proficiency in Chinese (written and spoken) to facilitate effective coordination and collaboration with Chinese-speaking stakeholders.
