Director, Compliance, Hong Kong
Fitch Ratings
Hong Kong

Fitch Ratings is a leading provider of credit ratings, commentary and research. Dedicated to providing value beyond the rating through independent and prospective credit opinions, Fitch Ratings offers global perspectives shaped by strong local market experience and credit market expertise.

The additional context, perspective and insights we provide help investors to make important credit judgments with confidence.

As a global credit rating agency, Fitch Ratings gauges the ability of entities and instruments to meet their credit obligations.

Investors and financial market participants rely on multiple sources, and the credit rating indicating how an issue or transaction is likely to perform over time is one of their key inputs.

In this way, we help investors map potential credit risks.

Fitch Solutions, a subsidiary of Fitch Ratings, provides a range of industry-leading products and professional development services to the global financial community.

In addition to offering proprietary market-based content, it distributes the ratings, research and financial data of Fitch Ratings through a variety of flexible platforms.

With innovation and experience behind every solution it brings to market, our offerings are designed to meet the diverse needs of the fixed-income markets.

Fitch complies with all laws governing employment in each jurisdiction in which it operates, and provides equal opportunity to all applicants and employees.

All applications will be considered without regard to race, colour, religion, gender, national origin, age, disability, marital or veteran status, sexual orientation, and other status protected by applicable laws.

Department Overview :

The Compliance Department is responsible for compliance and regulatory matters for Fitch Ratings’ business globally. The Department includes regulatory compliance, personal conflicts monitoring and compliance testing and monitoring.

Fitch Ratings ( Ratings ) is currently seeking an experienced professional to join its APAC Compliance team. The individual will assist the APAC Head of Compliance who is based in Singapore to manage regulatory and compliance matters primarily in relation to the Greater China region.

In that capacity, the individual will work closely with their Compliance colleagues in Singapore, Japan, Europe and Americas, along with business and analytical management, Legal and other internal support and control functions.

The individual will gain an understanding of Fitch Ratings’ business and operations, as well as the rules and regulations under which the firm operates.

Responsibilities :

The Compliance Officer for the Greater China region will oversee and monitor compliance with regulatory requirements in relation to Fitch Ratings’ operations primarily in Hong Kong, China and Taiwan.

The role involves performing the following primary functions :

  • Manage ongoing regulatory filings, ad hoc regulatory requests and regulatory exams in Hong Kong and Taiwan. This includes liaising with regulators and internal stakeholders, coordinating responses internally and ensuring responses are appropriate and timely.
  • Maintain strong and productive relationships with regulatory bodies and internal stakeholders
  • Handle internal queries on regulatory requirements and compliance policies and procedures
  • Advise on employee licensing matters in Hong Kong, monitor compliance with ongoing, training and filing requirements
  • Monitor regulatory development, conduct impact analysis and propose / take the required course of actions
  • Conduct internal compliance training
  • Provide quality and timely input to compliance and management reporting
  • Participate in and provide compliance input at internal governance meetings
  • Assist with email surveillance in Chinese language and compliance monitoring work in relation to Greater China as and when required
  • Participate in compliance projects under the global compliance workplan and support delivery of the workplan in the Greater China region
  • The role may also, at times, provide secondary or back-up support for regulatory and compliance matters in relation to other APAC markets outside of the Greater China region.
  • Experience :

  • 8-12 years of compliance or legal experience in a global financial institution or regulatory experience
  • Good knowledge of financial markets and understanding of local regulatory requirements in Hong Kong and China
  • Experience in directly interacting with regulators, including regulatory exams
  • Hands-on experience in handling licensing applications in Hong Kong a plus
  • Understanding of risk governance, supervision and control framework, concepts of control design and control operating effectiveness
  • Qualification & Skills :

  • Undergraduate degree required
  • CFA or compliance / legal qualification a plus
  • Excellent written and oral communications skills in English and Chinese (Cantonese and Mandarin)
  • Clear focus in developing a long-term career in the Compliance area with a credit rating agency
  • Appetite to operate in a hands-on manner on a day-to-day basis
  • Mature personality and positive attitude
  • Organized and disciplined approach
  • Ability to manage multiple and competing priorities
  • Strong attention to detail
  • Strong lateral thinking, excellent analytical and problem-solving skills
  • Ability to exercise sound judgment, escalate issues and propose solutions appropriately
  • Ability to work constructively with employees of all levels of seniority throughout the organization
  • A collaborative and inclusive nature in resolving differences, solving problems and advancing priorities
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