Compliance Analyst

Retu Management Consulting Limited; Hong Kong; Vor Ort; HKD 223.000 - 257.000; Vollzeit

Benefits dieser Stelle

Broad exposure

Low bureaucracy

Competitive salary

Hong Kong office

Career progression

Zusammenfassung

Retu Management Consulting Limited in Hong Kong is seeking a Compliance Analyst to join its office-based team. You will report to the Head of Compliance and handle day-to-day multi-jurisdictional compliance operations, including surveillance and client onboarding reviews.

Ideal for analytical professionals with 1–3 years of AML/CFT experience, familiar with HK and international regulations, and fluent in English, Cantonese, and Mandarin.

Qualifikationen

• 1–3 years experience in compliance, AML/CFT, internal audit, or financial operations
• Foundational knowledge of HK and international financial regulations (SFC / HKMA / FATF / AMLO / TCSP)
• Fluency in English, Cantonese, and Mandarin (written and spoken)

Aufgaben

• Monitor daily transactions and perform log analysis to flag suspicious activities
• Conduct KYC/CDD/EDD reviews and prepare client onboarding files
• Complete statutory CDD and record-keeping per TCSP licensing regime
• Support corporate filings, changes, and renewals for TCSP licensees
• Maintain regulatory tracking logs and calendars across jurisdictions
• Assist in updating internal compliance policies and training materials
• Gather documents for regulatory correspondence, license applications, and audits
• Verify client funds segregation and internal financial controls under supervision

Kenntnisse

Data analysis

English fluency

Cantonese

Mandarin

Ausbildung

Bachelor's degree in Law, Finance, Business Administration, or related discipline

Tools

Data evaluation tools

Jobbeschreibung

About Retu

RETU: An algorithm-native, multi-licensed financial services group. We take an AI-Native approach to retail derivatives trading and are now building our core Hong Kong compliance team.

The Role

You will report directly to the Head of Compliance and handle day-to-day multi-jurisdictional compliance operations. Ideal for an analytical and detail-oriented compliance professional who wants to execute core surveillance, conduct client onboarding reviews, and support the broader regulatory compliance strategy in a lean, high-calibre team from day one.

Position

Compliance Analyst

Location

Hong Kong (Full-time, Office-based)

Team

Compliance & Regulatory Affairs

Reports to

Head of Compliance & MLRO

Key Responsibilities

• Conduct daily transaction monitoring, log analysis, and compliance data auditing to identify and flag suspicious activities or compliance gaps
• Perform routine KYC/CDD/EDD reviews, compile client onboarding files, and assist in preparing draft STR/SAR documentation for senior sign-off
• Execute and log statutory CDD and record-keeping mandates in strict accordance with the Hong Kong Companies Registry TCSP licensing regime
• Assist in tracking, preparing, and maintaining corporate filings, notifications of changes in particulars, and annual renewals required to support the group's TCSP licensee status
• Maintain and organize regulatory tracking logs, reporting calendars, and internal documentation across key jurisdictions (FSA, CySEC, ASIC, FSC, FSCA, TCSP)
• Support the maintenance of internal compliance policies and SOPs, and assist in preparing cross-functional training materials
• Assist in gathering documents and data sets required for routine regulatory correspondence, license applications, and external audits
• Perform regular checks on client fund segregation protocols and financial control records under senior guidance

Requirements

• Bachelor's degree in Law, Finance, Business Administration, or a related discipline
• 1–3 years of experience in compliance, AML/CFT, internal audit, or financial operations
• Foundational knowledge of Hong Kong and international financial regulations (SFC / HKMA / FATF / AMLO / TCSP)
• High proficiency in data evaluation tools and strong attention to detail
• Fluency in English, Cantonese, and Mandarin (written and spoken)

Preferred (any of the following)

• Actively pursuing professional compliance qualifications (e.g., ICA, CAMS/ACAMS, or equivalent)
• Experience working within CFD, FX, or retail derivatives business models
• Prior exposure handling company secretarial data, corporate registers, or TCSP compliance workflows
• Previous exposure to automated screening tools, transaction monitoring systems, or AI-driven compliance workflows

What We Offer

• Broad, direct exposure to multi-jurisdictional regulatory compliance tasks from day one
• Fast-moving, low-bureaucracy environment where you will work directly alongside high-calibre industry leaders
• Competitive salary and performance bonus commensurate with experience
• Hong Kong office with international regulatory exposure
• Clear progression path: Compliance Analyst -> Senior Compliance Officer -> Jurisdictional Compliance Head / Responsible Officer (RO)

RETU is committed to creating a diverse and inclusive work environment and welcomes applications from all qualified candidates.

職位描述（繁體中文）

Retu 是一家正在快速成長的AI驅動的國際持牌金融平台，持有多個司法管轄區牌照（FSA、CySEC、ASIC 等），以 AI-Native 的方式重塑零售衍生品交易體驗。我們正在香港組建精幹的核心合規團隊

崗位概述

你將直接向Head of Compliance（MLRO）匯報，負責執行多司法管轄區合規架構的日常基礎運作。適合具備高度細緻與數據分析能力、渴望深耕金融合規領域、並在精英團隊中全面參與日常數據監測與客戶審查的合規專才

職位名稱

合規分析員（Compliance Analyst）

工作地點

香港（全職，辦公室工作）

所屬團隊

Compliance & Regulatory Affairs（合規與監管事務部）

匯報對象

Head of Compliance & MLRO

主要職責

• 負責日常交易監測、日誌分析及合規數據審計，及時發現並標記異常交易或合規漏洞
• 執行常規 KYC / CDD / EDD 客戶盡職審查，整理開戶檔案，並協助編寫可疑交易報告（STR/SAR）初稿以供上級審批
• 嚴格按照香港公司註冊處 TCSP 發牌制度之法定要求，執行並記錄CDD及檔案備存程序
• 協助跟進、準備及維護集團維繫 TCSP 牌照所需之公司申報文件、詳情變更具報及牌照續期事務
• 維護並更新各司法管轄區（FSA、CySEC、ASIC、FSC、FSCA、TCSP）的監管跟蹤日誌及合規申報日曆
• 協助維護集團內部合規SOP與政策文件，並參與準備跨部門合規培訓材料
• 協助收集與整理監管機構日常問詢、新牌照申請以及各類合規審計所需的基础文件及數據
• 在上級指導下，對客戶資金隔離流程及財務內控記錄進行常規核查

任職要求

• 擁有法律、金融、工商管理或相關專業的學士學位
• 1至3年金融機構合規、AML/CFT、內部審計或金融運作相關工作經驗
• 對香港及國際金融監管知識有基本了解（SFC / HKMA / FATF / AMLO / TCSP 框架）
• 具備良好的數據處理與邏輯分析能力，工作嚴謹細緻
• 流利粵語、普通話及英語（書面及口語）

加分條件（具備以下任一項均可）

• 正在備考或持有合規相關專業資格（如 ICA、CAMS / ACAMS 或同等資格）
• 具備 CFD / 外匯 / 衍生品業務的合規支持或運營背景
• 具備公司秘書數據、公司登記冊管理或 TCSP 合規工作流之相關經驗
• 熟悉自動化合規篩查系統、交易監測軟體或 AI 輔助合規工作流

我們提供

• 全方位參與多司法管轄區合規實務，快速累積跨境監管實戰經驗
• 精幹精英團隊，決策鏈短，可直接向資深合規專家學習
• 具競爭力的薪酬及表現獎金，視乎經驗及背景而定
• 香港辦公室，國際平台視野
• 明確的職業成長路徑：合規分析員 -> 高級合規主任 -> 司法管轄區合規負責人 / 持牌負責人 (RO)

Pay: $20,000.00 - $23,000.00 per month

Benefits:

• Maternity leave
• Medical Insurance
• Paid sick time
• Professional development

Education:

• Bachelor's Degree (Preferred)

Work Location: In person