Compliance Manager

SIIC INVESTMENT COMPANY LIMITED; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Finloop Finance Technology Services Limited in Hong Kong is seeking a Compliance Senior Manager (Brokerage & Asset Management) to oversee the full spectrum of compliance for a licensed corporation, identify regulatory risks, and ensure timely updates to internal policies and procedures.

You will be the primary liaison with the SFC, external auditors and legal counsel, manage regulatory inquiries and filings, supervise investor screening and document controls, and lead the AML/CFT framework

Qualifications

• Bachelor's degree or above in Law, Finance, Business Administration or related discipline.
• Experience in compliance roles within financial services.
• Ability to lead regulatory projects and teams.

Responsibilities

• Oversee compliance for licensed corporation and assess regulatory risk.
• Update compliance manuals, policies and guidelines.
• Liaise with SFC, external auditors, legal counsel and regulators.
• Handle SFC inquiries, inspections, and regulatory filings.
• Lead AML/CFT framework including high‑risk onboarding (EDD) and sanctions screening.
• Organize internal compliance awareness trainings.

Skills

Regulatory compliance

Leadership

Regulatory liaison

Risk assessment

Education

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

Job description

Compliance Senior Manager (Brokerage & Asset Management)

Finloop Finance Technology Services Limited

Location: Central, Central and Western District, HK

Key responsibilities

• Oversee the full spectrum of compliance for the licensed corporation; Conduct compliance risk identification and assessment; monitor the implementation of new regulatory requirements.
• Lead or assist in the updating of compliance manuals, internal policies, procedures, operational guidelines.
• Act as a primary liaison with the Securities and Futures Commission (SFC), external auditors, legal counsel, and other regulatory bodies.
• Handle SFC regulatory inquiries, inspections, and requests, rectifications. Manage regulatory fillings.
• Responsible for the screening and document management of qualified investors.
• Lead the AML/CFT and financial crime compliance framework, including high-risk client onboarding (EDD), sanctions screening, complex transaction monitoring, and STR escalations.
• Organize internal compliance awareness trainings.

About you

• Bachelor's degree or above in Law, Finance, Business Administration or a related discipline.
• Minimum 5 years of compliance experience.
• Solid experience in licensed corporations (SFC Type 4 & Type 9) for at least 2 years. Familiar with the regulatory rules of SFC and the regulatory requirements for Type 4 and Type 9 licenses.
• Sense of framework design, and strong will to do hands‑on work;
• Strong leadership skills, excellent judgment, and the ability to work independently under high‑pressure, fast‑paced environments
• Good team player, can leverage different resources to drive for result.
• Fluent in English, Cantonese and Mandarin.