Compliance

Victory Fintech Company Limited; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

Victory Fintech Company Limited in Hong Kong is seeking a senior compliance professional to bridge regulatory requirements with business strategy. You will contribute to compliance design for new initiatives and develop core control frameworks.

You will work with the CCO, MICs, ROs, legal counsel and cross-functional teams on HK SFC requirements, AML/CFT, and regulatory filings, shaping policy and process across platforms.

Qualifications

• At least three years of compliance experience with a Hong Kong licensed securities broker, with a sound understanding of the SFC regulatory framework and the compliance requirements applicable to licensed securities firms.
• Hands-on experience in day-to-day compliance, compliance monitoring, policies and procedures, and supporting regulatory inspections or enquiries.
• Familiarity with Hong Kong's AML/CFT framework and institutional client KYC/KYB, EDD, sanctions screening, trade surveillance and suspicious transaction reporting.
• Willingness to contribute, learn proactively and gradually take on more responsibility in partnership with the CCO, MICs and ROs.

Responsibilities

• Support and help drive routine and ad hoc regulatory matters, coordinating with internal owners and external legal counsel; prepare regulatory materials and follow up on gap analyses, remediation actions and management responses.
• Work with the CCO, MICs and ROs on day-to-day SFC communications, responses to enquiries, regulatory filings and regulatory disclosure materials, taking on broader responsibility over time.
• Monitor regulatory developments in Hong Kong, assess their impact on licences, products, clients and operations, and translate them into clear, actionable internal plans.
• Provide practical compliance advice during the design of new products, client solutions, partnership models and operating processes, helping teams move faster within regulatory boundaries.

Job description

Help Shape the Next Chapter of Compliance for Hong Kong's Institutional Market

Join a Hong Kong licensed financial technology platform where compliance is a core competitive advantage. You will serve as a key link between regulatory requirements, business innovation and management decision-making, contributing to compliance design for new business initiatives and the development of key control frameworks.

Why Join Us

• Compliance is part of our competitive advantage: Management values strong compliance capability and welcomes evidence-based professional judgement in both business and management decisions.
• A chance to help shape an evolving industry: You will contribute to the design of compliance frameworks for new business lines and emerging trading models, helping build practices that can be tested, validated and referenced by the industry.
• Exposure to high-quality institutional use cases: Our clients are banks, securities brokers and licensed fund managers. You will work on complex, real-world compliance issues with long-term significance.
• A role that can influence the company's direction: You will not only support execution, but will also progressively contribute to discussions on important business proposals, risk judgements and the company's strategic direction.

What You Will Gain

• Industry opportunity: Work at the forefront of institutional financial technology and virtual asset compliance in Hong Kong, contributing to new businesses and key projects that may influence industry practice.
• Professional growth: Work with the Chief Compliance Officer (CCO), Managers-in-Charge (MICs), Responsible Officers (ROs), legal counsel and cross-functional teams, gaining an integrated view across securities compliance, AML/CFT, platform operations and product design.
• Visible impact: Your professional judgement can shape business decisions, while the processes you establish or improve can be adopted and implemented to deliver tangible results.
• Career development: As your expertise and influence grow, you can progress into ownership of core compliance areas or special projects, with a path towards more senior compliance management roles.

What You Will Own

1. Regulatory Engagement and Matter Management

• Support and help drive routine and ad hoc regulatory matters, coordinating with internal owners and external legal counsel; prepare regulatory materials and follow up on gap analyses, remediation actions and management responses.
• Work with the CCO, MICs and ROs on day-to-day SFC communications, responses to enquiries, regulatory filings and regulatory disclosure materials, taking on broader responsibility over time.
• Monitor regulatory developments in Hong Kong, assess their impact on licences, products, clients and operations, and translate them into clear, actionable internal plans.

2. Hong Kong Licensed Securities Firms

• Handle compliance matters for Hong Kong licensed securities firms, including conduct requirements, client assets, conflicts of interest, employee dealing, outsourcing management, compliance monitoring and internal reporting.
• Regularly review and enhance compliance policies, procedures and monitoring plans; identify control gaps and coordinate remediation and follow-up review across relevant teams.
• Develop familiarity with and contribute to compliance work relating to Type 7 regulated activities and licensed trading platforms. We will provide the relevant business exposure and cross-functional support; prior end-to-end ownership of the licence is not required.

3. AML/CFT, Client Onboarding and Trade Surveillance

• Work with Operations and Business teams to continuously enhance institutional client KYC/KYB, KYT/KYA, sanctions screening, enhanced due diligence (EDD), ongoing monitoring and suspicious transaction reporting processes.
• Contribute to the design and review of trade surveillance rules, alert investigation procedures and escalation mechanisms; assess risk based on client profiles, trading behaviour and platform context rather than processing alerts mechanically.
• Support regulatory inspections, internal audits, independent assessments or investigations, ensuring that findings are documented, assigned to clear owners, time-bound and subject to follow-up review.

4. Business, Product and Control Framework Development

• Provide practical compliance advice during the design of new products, client solutions, partnership models and operating processes, helping teams move faster within regulatory boundaries.
• Review client documentation, business terms, marketing materials and internal policies. Candidates with a legal background may also contribute to the analysis of commercial contracts and regulatory provisions.
• Translate regulatory requirements into standards and processes that the business can understand, execute and evidence, and drive the adoption of new or enhanced controls.
• Prepare well-supported compliance opinions and reports for management and relevant committees, clearly setting out the issues, risks, available options and recommendations.

What We Are Looking For

• At least three years of compliance experience with a Hong Kong licensed securities broker, with a sound understanding of the SFC regulatory framework and the compliance requirements applicable to licensed securities firms. This is a core requirement for the role.
• Hands-on experience in day-to-day compliance, compliance monitoring, policies and procedures, and supporting regulatory inspections or enquiries. You should be able to explain the scope of your responsibilities, how you exercised judgement and how you drove implementation.
• Familiarity with Hong Kong's AML/CFT framework and institutional client KYC/KYB, EDD, sanctions screening, trade surveillance and suspicious transaction reporting.
• You are not expected to have independently managed an end-to-end regulatory filing process. What matters is a willingness to contribute, learn proactively and gradually take on more responsibility in partnership with the CCO, MICs and ROs.
• Sound risk judgement and commercial awareness, with the ability to protect regulatory standards while proposing evidence-based, practical solutions.
• A hands-on approach, the ability to coordinate cross-functional resources, and ownership of both process and outcomes.
• Strong written communication skills in both English and Chinese, together with spoken English and Cantonese and/or Mandarin, enabling effective collaboration with teams in Hong Kong and Mainland China.

Preferred Qualifications

• A bachelor's degree or above in Law, a legal qualification in Hong Kong or another common-law jurisdiction, or prior experience in a law firm or an in-house legal role within a financial institution.
• Experience supporting an SFC licence application, major regulatory inspection or remediation project, with the ability to independently manage deliverables.
• Experience with Type 7 regulated activities, licensed trading platforms, securities trading systems, institutional brokerage, custody or cross-border liquidity. These are preferred qualifications, not mandatory requirements.
• A track record of building or enhancing compliance policies, monitoring plans, committee governance or management reporting frameworks from the ground up.

What We Aim to Achieve Together in Your First 6-12 Months

• Build a systematic understanding of compliance across Hong Kong securities brokerage, institutional business and licensed trading platforms, and develop into an industry specialist with a rare cross-disciplinary skill set.
• Form and communicate independent, evidence-based views grounded in regulation, facts and business context, and contribute to significant business and risk decisions.
• See the policies, processes and monitoring controls you establish or improve adopted by the team, delivering tangible gains in compliance quality and business efficiency.
• Take ownership of one or more core compliance areas, become a trusted partner to management and business teams, and build a foundation for broader responsibilities.

If you want to turn compliance expertise into genuine business influence and build a professional track record during a defining stage for Hong Kong's institutional financial technology and virtual asset compliance landscape, we would welcome the opportunity to build it with you.