Compliance Manager - Chinese Securities Firm

CLIENT BACKGROUND
Our client is a well-established financial services platform with a strong presence in Hong Kong. The firm holds multiple SFC licenses (Type 1, 2, 4, 5, 6, and 9) and offers a broad range of regulated services including dealing, advisory, asset management, and corporate finance activities. With continued business expansion, they are strengthening their compliance function to support regulatory excellence and sustainable growth.

JOB RESPONSIBILITY

• Provide day-to-day compliance advisory to business units, with a focus on SFC Type 6 (corporate finance) and/or Type 9 (asset management) activities
• Interpret and implement SFC rules, codes, and guidelines, ensuring alignment with regulatory expectations
• Support new business initiatives by offering practical compliance guidance and risk assessments
• Develop, enhance, and maintain internal compliance policies, manuals, and control frameworks
• Conduct compliance monitoring, thematic reviews, and testing to identify potential risks and gaps
• Liaise with regulators, auditors, and internal stakeholders on compliance-related matters
• Deliver training sessions and promote a strong compliance culture across the organization
• Assist in regulatory filings, licensing matters, and handling SFC enquiries or inspections

JOB REQUIREMENTS

• 5-10 years of relevant compliance experience within licensed financial institutions in Hong Kong
• Solid working knowledge of SFC regulations, with hands-on exposure to Type 6 and/or Type 9 regulated activities preferred
• Strong understanding of regulatory advisory, with the ability to provide practical, business-oriented solutions
• Fluent in written and spoken Chinese (Mandarin and/or Cantonese) and English
• Detail-oriented, proactive, and capable of working independently in a dynamic environment
• Strong communication and stakeholder management skills