Business Compliance Manager - SFC 1,4,9

A leading financial services group is building a new technology-driven wealth management platform in Hong Kong and is looking to hire a Business Compliance Manager to join its growing team.

This is a hands-on role supporting the development and ongoing operation of the platform, working closely with business, product and other control functions. The successful candidate will have practical compliance experience within a Hong Kong securities, asset management or wealth management environment.

Key Responsibilities:

• Provide day-to-day compliance advisory support to the business and relevant stakeholders
• Support compliance requirements relating to SFC-regulated activities, particularly Type 1, Type 4 and Type 9
• Handle and coordinate SFC regulatory enquiries, inspections and related regulatory matters
• Conduct ongoing compliance monitoring and support regulatory reporting requirements
• Advise on AML/KYC, suitability and investor protection requirements
• Support trade monitoring and surveillance activities where required
• Draft, review and update compliance policies, procedures and internal controls
• Review new business initiatives, products and processes from a regulatory and compliance perspective
• Monitor regulatory developments and assess their impact on the business

Requirements:

• Relevant compliance experience gained within a securities firm, asset manager, wealth management platform or other SFC-regulated financial institution
• Strong practical knowledge of the Hong Kong SFC regulatory framework
• Familiarity with Type 1, Type 4 and/or Type 9 regulated activities
• Hands-on exposure to areas such as regulatory inspection/enquiry, compliance monitoring, regulatory reporting, AML/KYC, suitability or trade monitoring
• Ability to work independently in a lean, fast-growing business environment
• Legal background or strong regulatory research and interpretation skills would be an advantage
• Strong communication skills and ability to work closely with business and product stakeholders

This is a strong opportunity to join a newly established wealth management platform backed by a leading financial services group, with significant exposure to the build-out of its Hong Kong business and compliance framework.