Specialist, Licensing and Regulatory Registrations Hong Kong

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Specialist, Licensing and Regulatory Registrations Hong Kong

mid · Risk & Compliance

Job Summary

The Specialist, Licensing and Regulatory Registrations, Hong Kong is a key team member responsible for the Bank’s first line coordination and execution of licensing, registration and regulatory approval activities across Hong Kong, ensuring the firm and relevant individuals maintain the permissions, registrations and notifications required to operate in compliance with applicable local regulatory requirements.

This role carries out the day-to-day execution and coordination of licensing and regulatory registration processes, ensures timely submissions, renewals, notifications and record maintenance in line with the expectations of relevant Hong Kong regulators, including the Hong Kong Monetary Authority, Securities and Futures Commission, and other applicable regulatory bodies.

The position acts as a trusted advisor to business, control and senior management stakeholders on licensing implications of organisational, personnel and business changes, supporting effective regulatory engagement, accurate documentation, and strong oversight of registration-related obligations across the Hong Kong franchise. 

Key Responsibilities

Processes
• Manage and coordinate licensing, registration and notification activities for the Hong Kong franchise, including submissions, renewals, variations and ongoing regulatory filings with relevant authorities.
• Maintain the firm’s Hong Kong licensing and registration inventory, ensuring regulatory records, registers, approvals and supporting documentation remain accurate, complete and up to date.
• Provide HKMA, SFC, IA and MPFA’s licensing-related advisory (e.g. registration, competence and fit and proper requirements).
• Ensure timely regulatory filings for appointment/cessation/change of senior regulatory appointments (including HKMA S72B Manager, Appointee under Management Accountability Executive Officer, SFC Managers-in-Charge, Responsible Officer & Licensed Representative / IA Responsible Officer / MPFA Responsible Officer (“licensed individuals”)).
• Liaise with business / other internal stakeholders and support engagement with regulators for arranging application, notification and cessation in relation to licensed individuals. 
• Keep track on staff’s movement and change of personal particular to file necessary regulatory notification.
• Maintain licensing and registration record for regulated staffs and perform weekly reconciliation. Share licensing data to other counterparts for MI or other appropriate purpose.
• Review and access CPT accreditation for licensed individuals.  Formulate and generate CPT reports and ensure all licensed individuals have fulfilled the CPT training hours by year end. 
• Follow up on staff HKSI licensing examination status and ensure fulfilment of required license examination within the grace period
• Arrange temporary HKMA Relevant Individual license for overseas staff if needed.
• Assist in maintaining and updating licensing related policy/ process documents. Propose enhancement to the current licensing process to reduce operational errors or increase efficiency.
• Conduct annual Fit and Proper attestation for the regulated roles and escalate any exception identified.
• Remind the licensed individuals on regulatory notification / reporting requirements.
• Assist to handle any audit request, compliance review or regulatory inspection relating to the HK licensing and registration processes. 
• Handle ad-hoc projects and other tasks as assigned. 

People & Talent 
• Partner with local, regional and global stakeholders to coordinate licensing and registration requirements and ensure consistent implementation of regulatory obligations in Hong Kong.
• Build effective working relationships with business leaders, Compliance, Legal, HR and Operations to assess regulatory impacts and support timely execution of approval and registration requirements.
• Support transparent and professional engagement with regulators and internal stakeholders by delivering clear updates, accurate documentation and responsive issue management.

Risk Management
• Ensure licensing and registration activities are conducted in line with applicable Hong Kong laws, regulations, regulatory guidance and internal policy requirements.
• Promote strong awareness of licensing and registration obligations across relevant stakeholders, helping embed regulatory requirements into business-as-usual processes.
• Identify, escalate and support remediation of licensing, registration and regulatory compliance risks, including issues arising from delayed submissions, incomplete records or changing business activities.

Governance 
• Design, implement and maintain robust processes and controls to support licensing, registration, renewal and notification activities, including governance, attestations, approvals and document retention.
• Identify process gaps and drive continuous improvement to enhance efficiency, transparency and control across Hong Kong regulatory registration activities.

Regulatory & Business Conduct 
• Display exemplary conduct and live by the Group’s Values and Code of Conduct. 
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders
• Compliance
• Legal
• HR 
• Operations
• Authorities 

Skills and Experience

• Governance
• Risk Management
• MS Office, Excel, Word & Power Point  

Qualifications

• Familiar with HKMA, SFC, IA and MPFA’s licensing or regulated persons frameworks in Hong Kong.
• Educated to degree level or equivalent, legal education/background would be very beneficial. 
• At least 2 years of relevant experience managing or supporting licensing, registration or regulatory approval processes in Hong Kong and engaging with regulators where required.
• Ability to manage and handle the licensing and registration processes independently. 
• Ability to maintain confidentiality, demonstrating high levels of discretion and integrity.
• Strong knowledge of governance, risk management and control frameworks relevant to regulated entities in Hong Kong.
• Excellent knowledge of MS Office, including Microsoft PowerPoint, Word, and Excel. 
• Ability to work collaboratively across local or global teams in a dynamic environment. 

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
• Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible working options based around home and office locations, with flexible working patterns.
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

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