about the company.

An industry-leading financial services conglomerate in Hong Kong, celebrated for its expansive investment portfolio and unwavering commitment to regulatory integrity. This organisation champions a progressive, inclusive workplace where compliance professionals are empowered as strategic business partners, ensuring sustainable corporate growth and steadfast market trust.

about the team.

You will integrate into a specialised, high-calibre compliance department characterised by collaboration and intellectual rigour. Operating with significant autonomy, this team partners closely with front-line sales, investment, and risk divisions. It is a supportive, transparent environment designed to cultivate leadership and reward proactive regulatory oversight.

about the job.

• Deliver expert compliance advise to diverse business units (including sales, investments, risk, and operations) regarding SFC Type 1, 4, and 9 regulations.

• Architect and execute robust operational workflows to meet and exceed SFC regulatory expectations.

• Formulate, audit, and update group-wide compliance manuals for all subsidiaries, including the SFC-licensed entity and licensed money lending entities.

• Execute comprehensive, periodic regulatory reviews and articulate strategic gap analysis reports.

• Partner with the MLRO and AML Compliance Officer to champion AML and CFT frameworks.

• Scrutinise and authorise external client communications and marketing collateral to ensure absolute compliance.

• Manage critical regulatory filings and orchestrate prompt, accurate responses to SFC and other regulatory enquiries.

• Govern the restricted securities list and resolve complex, related compliance inquiries.

• Design and deploy engaging compliance training programmes to embed a firm-wide culture of integrity.

skills & experience required.

• Bachelor's degree in Law, Finance, Business Administration, or an equivalent discipline.

• Minimum 5 years of experience navigating regulatory compliance within a licensed bank, regulator, SFC-licensed corporation, or advisory firm.

• Comprehensive mastery of the SFO, FMCC, Code of Conduct, and current AML legislation; knowledge of the Money Lenders Ordinance is highly advantageous.

• Exceptional analytical acumen with the capacity to exercise independent judgement and proactively mitigate risks.

• Demonstrated integrity and a collaborative mindset, operating with the utmost professional accountability.

• Outstanding communication capabilities, requiring fluency in English and ideally fluency in written and spoken Chinese.