Compliance Manager

Responsibilities

Handle and respond to regulatory investigations, enquiries, and surveys received from regulators in a timely and professional mannerMonitor and interpret new and updated regulatory requirements, assessing their impact on business operations and providing legal and compliance advisory servicesConduct comprehensive compliance assessments on various products, services, and business initiatives to identify potential regulatory risksPerform regular business reviews and compliance audits to ensure ongoing adherence to regulatory requirements and internal standardsPrepare the internal training for various business department, ensuring staff are equipped with up-to-date regulatory knowledgeDevelop, review, and continuously update compliance policies, procedures, and manualsManage other compliance tasks and ad hoc projects as assigned by the Compliance DepartmentParticipate in special projects, including system enhancements, and process improvements

Requirements

Bachelor's degree in Business Administration, Risk Management, Law, Finance, or related disciplinesSolid understanding of SFC rules, guidelines, and regulatory requirements; familiarity with SFC and other relevant Hong Kong financial regulators is a plusMinimum 6 years of compliance experience in financial institutions (e.g., brokerage, asset management, private banking) or professional services firmsSelf-motivated and independent, with a strong sense of responsibility; detail-oriented and analytical mindset; able to exercise sound judgment under pressureStrong organisational and project management skills, with the ability to multitask, prioritise effectively, and meet tight deadlines in a dynamic environmentExcellent written and spoken English and Chinese; fluency in Mandarin is preferred; strong presentation and management skills