Key Responsibilities: 

• Oversee daily compliance operations and coordinate with internal & external parties to meet regulatory obligations.

• Assist in updating the company's compliance policies and procedure manuals to ensure adherence to regulatory requirements from the Securities and Futures Commission (SFC), Hong Kong Monetary Authority (HKMA), and Anti-Money Laundering Ordinance (AMLO).

• Act as the primary liaison for inquiries, submissions, and licensing maintenance with regulatory bodies

• Monitor policy requirements for new business initiatives and assess their impact on the company’s operations.

• Assist in designing compliance solutions for new business ventures and products.

• Participate in and assist with ad hoc projects as assigned

Key Requirements:

• Bachelor’s degree in Law, Finance, Accounting, or a related discipline

• Minimum of 2 years of relevant experience in compliance or regulatory roles in Hong Kong financial institutions, with a strong understanding of SFC licensed operations (Type 1, 4, and 9).

• Strong command of written and spoken English and Chinese (Cantonese and Mandarin) 

• Independent, proactive, and attentive to detail

• Candidate straight from Big 4 will also be considered 

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