Compliance Analyst

Optima Partners; Hong Kong; On-site; HKD 270,000 - 330,000; Full time

Job summary

Optima Partners is a global compliance and regulatory consultancy with offices in Hong Kong and around the world. We seek a Compliance Analyst for our Hong Kong office, an entry-level role within a two-year training program.

You will work with experienced consultants, gain exposure to HK regulatory topics in investment management, and progress based on merit and capability. This is a full-time on-site position in Hong Kong.

Qualifications

• Bachelor’s degree in Finance, Law, Business, or related fields.
• Authorized to work in Hong Kong.
• Strong English communication; Cantonese/Mandarin a plus.
• Excellent organizational and analytical abilities.
• Interest in investment management and financial regulation.

Responsibilities

• Monitor compliance-related activities and records per SFC standards.
• Assist in drafting and updating compliance manuals and ethics codes.
• Support regulatory filings and licensing notifications to the SFC.
• Review employee communications for regulatory recordkeeping.
• Assist with regulatory inspections and mock reviews.
• Prepare periodic regulatory submissions and annual returns.
• Maintain documentation and assist clients with regulatory books and records.
• Participate in training and development within the program.
• Contribute to two-year hands-on training across HK compliance topics.

Skills

Communication skills

Analytical thinking

Attention to detail

Task management

Proactive mindset

Education

Bachelor's degree in Finance, Law, Business, or related fields

Job description

Optima Partners is a global compliance and regulatory consultancy trusted by leading financial institutions worldwide. With offices in Hong Kong, Singapore, Abu Dhabi, Dubai, New York, London, Chicago, Los Angeles, and San Francisco, we provide advisory and consulting services to a diverse range of clients across the financial services industry.

Our clients include hedge funds, private equity firms, broker-dealers, investment banks, and more. Our team serves as a trusted adviser to some of the world’s most prominent alternative investment managers, helping them navigate complex regulatory requirements and strengthen their compliance programs.

Position Summary

Optima Partners is seeking a highly motivated and detail-oriented Compliance Analyst to join our Hong Kong office. This entry-level opportunity is ideal for recent graduates or early-career professionals looking to build a career in financial compliance and regulation.

As part of a two-year, hands-on training program, you will work closely with experienced consultants and gain exposure to a wide range of Hong Kong's compliance topics in the investment management industry. You will also develop an understanding of global regulatory frameworks, including SEC, CFTC, and FCA regulations, as they apply to our international client base. High-performing analysts may be promoted to Senior Analyst in less than one year and to Associate ahead of the two-year mark, with progression based on merit and demonstrated capability.

From day one, you will receive structured training, mentorship, and direct exposure to client engagements, allowing you to build practical experience while developing your regulatory and advisory skill set.

This is a full-time, on-site position based in Hong Kong. Competitive compensation will be offered based on qualifications and experience.

Key Responsibilities

• Monitor expert network interactions and employee personal trading activity.
• Review and archive employee communications (e.g., email, chat) in accordance with SFC recordkeeping requirements.
• Maintain employee disclosure forms and assist clients in organizing regulatory books and records in line with Hong Kong Securities and Futures Commission (SFC) requirements.
• Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities.
• Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation tailored to SFC and HKMA regulations.
• Contribute to annual compliance reviews and mock SFC regulatory inspections.
• Assist with preparing and submitting licensing applications and notifications to the SFC for corporations and licensed representatives.
• Prepare and file required periodic regulatory submissions with the SFC (e.g., annual returns, notifications of changes).
• Support clients during SFC regulatory inspections, inquiries, and thematic reviews.

Requirements

• Bachelor’s degree from an accredited university (Finance, Law, Business, or related fields preferred).
• Legal authorization to work in Hong Kong.
• Excellent written and verbal communication skills in English; proficiency in Cantonese and/or Mandarin is a plus.
• Strong organizational skills with a high level of attention to detail.
• Strong analytical and problem-solving abilities, with a proactive and solutions-oriented mindset.
• Ability to manage multiple tasks and meet deadlines in a fast-paced environment.
• Strong interest in the investment management industry and financial regulation.

Starting salary: 300k per year

Optima Partners is committed to providing equal opportunities in employment. We do not discriminate based on gender, gender identity, race, religion, colour, nationality, ethnic origin, sexual orientation, marital status, age, disability, or any other protected characteristic.