Our client is a prominent Chinese full-service financial institution, supported by a well-established parent group and offering a comprehensive portfolio of services spanning securities trading, investment banking, and asset management.
They are now seeking a seasoned Compliance Manager to take on a pivotal role within a high-performing Compliance team, overseeing the full spectrum of regulated activities and ensuring robust regulatory standards are upheld across the firm's operations.
Your Role
Reporting directly to the Department Head, you will:
- Oversee compliance for SFC regulated activities
- Manage licensing matters and ensure ongoing compliance with business conduct rules
- Lead AML functions, including KYC reviews, transaction monitoring, and handling of STRs
- Support internal audits and regulatory inspections
- Provide regulatory guidance on new business initiatives, such as fund launches or cross-border arrangements
- Monitor and interpret regulatory developments, ensuring timely policy updates and staff training
- Promote a strong compliance culture through cross-functional collaboration
Who You Are
- A compliance professional with at least 5 years of relevant experience in a Chinese securities firm or equivalent licensed intermediary
- Fluency in Mandarin required
- Strong grasp of Hong Kong SFC regulations and hands-on compliance experience gained in Hong Kong
- A team player who thrives in lean environments with broad remits and flat hierarchies
