Compliance Manager, Brokerage firm HK$ 60k -HK$ 80k

The Company

Our client is a well-established financial institution holding SFC licenses for Types 1, 2, 4, and 9, with a strong foothold in retail brokerage and Capital Market. To support their continued business expansion, they are seeking a Compliance Manager to join their Compliance team.

The Role

• Conduct regular compliance reviews and monitoring activities to ensure adherence to internal policies and external regulations.
• Deliver timely, practical, and consistent compliance guidance on business initiatives and new financial products, including risk assessment and regulatory interpretation.
• Address inquiries from front-office and operational teams on regulatory requirements, offering clear recommendations and actionable solutions.
• Engage and negotiate with internal stakeholders across functions and senior management; liaise with external legal counsel and consultants as needed.
• Develop ethical, transparent, and efficient reporting frameworks to support business decision-making and regulatory submissions.
• Support ad-hoc compliance projects and other assignments delegated by management.

Your Profile

• 4-6 years of relevant compliance experience within a financial institution, with exposure to retail brokerage.
• Solid knowledge of financial markets, including product structures and applicable rules and regulations governing Hong Kong and U.S. capital markets.
• Strong familiarity with compliance rules and guidelines issued by the Securities and Futures Commission (SFC).
• Analytical mindset, self-driven, and capable of performing under pressure.

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.

Reference No. 67010-0013418717

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