Compliance Manager (Hong Kong)
Kaiyiee Global Talent · Hong Kong, Hong Kong SAR
Apply & track with Apply EdgeJob Description
Compliance Manager (Hong Kong)Position: Compliance Manager
The successful candidate will be responsible for developing, implementing, and maintaining the firm’s compliance policies, procedures, and internal controls to ensure continuous adherence to SFC Type 1, 4, and 9 regulatory requirements.This is a hands-on role that requires deep knowledge of Hong Kong’s asset management and fund distribution regulatory landscape, with a strong focus on AML/CFT, client asset protection, and cross-border compliance.Key Responsibilities1. Compliance Framework & PoliciesDevelop, implement, and maintain the firm’s compliance policies, procedures, and internal controls to ensure ongoing compliance with SFC Type 1, 4, and 9 licence conditions.Conduct regular compliance monitoring and reviews covering marketing and promotional activities, suitability assessments, conflicts of interest, and custody arrangements.Organise and deliver compliance training to staff.2. Business AdvisoryProvide compliance advice to business teams across distribution activities, client onboarding, due diligence, and product launches.Review and approve marketing materials to ensure accuracy, completeness, and appropriate risk disclosures.3. Regulatory Monitoring & ReportingTrack SFC and HKMA regulatory developments and implement changes in a timely manner.Prepare and submit regulatory reports, notifications, and filings.Serve as a liaison with external auditors, legal advisors, and regulators.4. AML/CFT & KYCTake primary responsibility for AML/CFT controls, including KYC and ongoing transaction monitoring.Conduct CDD/EDD reviews and ensure adherence to AML/CFT requirements.5. Client Asset ProtectionOversee compliance with client asset rules and custody requirements.Conduct pre-trade and post-trade compliance monitoring.RequirementsEssentialBachelor’s degree or above in Law, Finance, Accounting, or a related discipline.3–5 years of compliance experience at a Hong Kong licensed corporation, preferably in asset management, fund distribution, or custody.Strong knowledge of SFC regulatory requirements, the Code of Conduct, client asset rules, and custody requirements.Fluency in English and Chinese (written and spoken). Cantonese is highly preferred.Native-level Chinese and valid Hong Kong work authorization.Integrity, honesty, strong learning ability, and a practical, down-to-earth approach.Preferred / AdvantageousHolder of RO (Responsible Officer) or MIC (Manager-In-Charge) qualification.Familiarity with Mainland China cross-border business compliance (QFII / QDII / Mutual Market Access) .