Senior Specialist, Regulatory Compliance

Overview

We’re looking for a Senior Specialist, Regulatory Compliance to join our Integrated Compliance Service team at MBPS. In this role, you will play a key role in supporting the Global Risk and Change Management Center of Excellence (CoE) by contributing to the successful implementation and ongoing enhancement of the Regulatory Compliance Management (RCM) Program. The role is instrumental in ensuring that regulatory changes are effectively identified, assessed, and integrated into the organization’s compliance framework. It involves managing and maintaining authoritative sources to ensure the accuracy and reliability of regulatory information, administering compliance platforms to support operational efficiency, and generating reports that provide insights into compliance status and trends. By collaborating with cross-functional teams and leveraging best practices, this position helps strengthen the organization’s ability to proactively manage regulatory risks and maintain a strong culture of compliance.

Position Responsibilities

• Support the implementation and continuous improvement of the Regulatory Compliance Management Program, ensuring alignment with global regulatory expectations and internal standards.
• Monitor and assess regulatory changes and updates to authoritative sources; coordinate with stakeholders to evaluate impact and ensure timely integration into compliance systems and processes.
• Provide subject matter expertise and support in linking authoritative sources to integrated compliance platforms, ensuring traceability and alignment across systems.
• Maintain and govern the Global RCM SharePoint site, ensuring accurate access controls, document versioning, and records management practices.
• Monitor and maintain the LCG Issue and CAP Management Dashboard, applying filters by segment, common unit, and compliance programs (e.g., FCC, Privacy, Data Compliance).
• Provide support to stakeholders in navigating and using compliance platforms for regulatory change tracking, obligation mapping, and controls documentation.
• Create, enhance, or update policies, guidelines, and procedures related to authoritative sources and compliance platforms.
• Conduct training sessions and walkthroughs for stakeholders on the use of compliance platforms and authoritative source management tools.
• Support the preparation of Global RCM Quarterly Reporting, including drafting write-ups, compiling data, and coordinating inputs from relevant teams.
• Contribute to compliance communication, reporting, and information sharing across business segments and legal entities.
• Assist in readiness assessments, control attestations, and implementation of enhancements to compliance systems and processes.
• Review, grant, and revoke stakeholder access to compliance databases and tools, ensuring appropriate access controls, user governance, and audit trail documentation.
• Provide support to the Regulatory Compliance CoE in the execution of centralized policies, standards, and audit coordination.
• Perform ad hoc assignments in support of Global Compliance, Regulatory Risk Management, and Integrated Compliance Services.

Required Qualifications

• 2-3 years of experience in compliance, legal, risk (regulatory compliance risk, dealing with legislation), or audit (internal or external) as an analyst or auditor.
• 4-5 years of experience in the financial industry or a relevant field.
• Experience in Regulatory Compliance.
• Excellent communication and presentation skills, with the ability to present to stakeholders.
• Bachelor’s degree preferably in accounting, law, finance, business, or related fields.

Preferred Qualifications

• Strong understanding of regulatory compliance management programs, regulatory change processes, and compliance platforms.
• Proven experience in Compliance roles; experience in Legal, Risk, or Audit functions is valuable when directly related to regulatory compliance.
• Experience in managing or supporting authoritative sources, regulatory obligation mapping, and compliance documentation.
• Proficiency in developing and maintaining policies, procedures, and guidelines related to compliance systems and regulatory content.
• Skilled in using and supporting compliance platforms and dashboards; experience with SharePoint and issue/CAP management tools is preferred.
• Proficient in MS Office Suite, particularly MS Word, Excel, and PowerPoint.
• Advanced Excel skills, including formulas, macros, pivot tables, and formatting for compliance reporting.
• Experience with data analytics and visualization tools (e.g., Power BI) is preferred.
• Strong English communication skills, both written and verbal, with the ability to draft clear and concise compliance documentation and reports.
• Ability to work independently, manage multiple priorities, and meet deadlines in a fast-paced, evolving regulatory environment.
• High attention to detail, sound judgment, and a proactive approach to identifying and addressing compliance issues.
• Flexible and adaptable, with a strong awareness of cultural diversity and cross-functional collaboration.
• Open-minded, eager to learn, and committed to continuous improvement in compliance practices.

When you join our team

• We’ll empower you to learn and grow the career you want.
• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
• As part of our global team, we’ll support you in shaping the future you want to see.

關於宏利和恒康

宏利金融公司是一家業界領先的國際金融服務商，致力於幫助人們實現「輕鬆投資理財，樂享豐盛人生」。若要進一步了解我們，請瀏覽

宏利是平等機會僱主

在宏利／恒康，我們擁抱多元。我們致力於吸引、培養及挽留和所服務客戶同樣多元的員工，並從而營造包容的工作環境，接納文化和個體差異。我們矢志維持公平的招聘、挽留、晉升及薪酬制度，我們管理的所有實踐及項目不會因種族、血統、原籍地、膚色、族裔、國籍、宗教或宗教信仰、信仰、性別（包括懷孕及其相關情況）、性取向、遺傳特徵、退伍軍人身份、性別認同、性別表達、年齡、婚姻狀況、家庭狀況、殘疾或受適用法律保護的任何其他因素而區別對待。

我們的首要任務是消除障礙，為員工提供平等就業機會。人力資源部代表將盡力為應徵過程中提出要求的申請人提供合理協助。申請人要求提供協助所分享的信息將會按照適用法律及宏利／恒康政策儲存及使用。應徵過程中如需協助，請聯絡 。

Working Arrangement

混合式

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