Compliance Officer

About This Role

This compliance officer role involves ensuring the company's policies and procedures align with regulatory standards, particularly those set by the SFC. The position requires a candidate with a strong legal background and significant experience in compliance within a regulated financial environment.

Responsibilities

• Conduct analysis of policies, procedures, and controls against the SFO, Code of Conduct, SFC guidelines, and applicable rules
• Develop and update the compliance manual, SOPs, and internal controls across Type 1, 2, and 9 activities
• Strengthen controls in key risk areas: client assets, conflicts of interest, suitability, disclosure, and AML/CFT
• Act as primary liaison with the SFC; manage inspections, enquiries, filings, and annual returns
• Monitor regulatory developments, assess impact, and implement necessary updates
• Lead internal compliance reviews, audits, and remediation tracking
• Deliver compliance training and advise business and management on regulatory matters

Requirements

• Valid experience at a Hong Kong SFC-licensed corporation, ideally covering multiple regulated activities
• Minimum 5 years' compliance/regulatory experience, with at least 3 years in senior compliance management
• Strong knowledge of the SFO, Code of Conduct, FRR, Client Asset Rules, AML/CFT, and SFC reporting obligations
• Proven experience in SFC inspections, regulatory remediation, or compliance framework build-out preferred
• Legal background is mandatory and must be evidenced by at least one of the following: admission as a lawyer in a recognised jurisdiction; an LLB, JD, LLM or equivalent legal qualification; or prior legal practice experience at a law firm
• Excellent English and Chinese

Nice to have:

• Cantonese and Mandarin preferred
• CAMS, FRM or similar qualification a plus