Compliance Manager

Longbridge HongKong; Hong Kong; On-site; HKD 1,000,000 - 1,400,000; Full time

Job summary

Longbridge is seeking an experienced compliance professional to oversee regulatory risks and ensure adherence to SFC requirements across business units. The role involves reviewing marketing materials, tracking remediation actions, and delivering staff training.

The candidate should have a strong background in finance/banking, at least five years of relevant experience, and fluency in English and Cantonese with Putonghua proficiency. This is a senior, full-time position based in Hong Kong.

Qualifications

• Bachelor's degree in Finance, Accounting, Law, Risk Management, or related disciplines.
• Minimum 5 years of relevant experience in the finance and banking industry; experience in a professional services firm is a bonus.
• Strong knowledge of SFC rules and regulations pertaining to Type 1, 2, 4, and 9 regulated activities.
• Proficiency in MS Office applications (Excel, PowerPoint, Word) and Chinese word processing software.
• Excellent command of written and spoken English and Cantonese; Putonghua proficiency required.

Responsibilities

• Identify and assess compliance risks associated with the company's development initiatives and daily operations.
• Stay updated on new or revised regulatory rules and legal requirements relevant to various business units.
• Review and approve marketing materials and communications to ensure alignment with regulatory standards.
• Monitor and track remedial actions arising from compliance monitoring activities, ensuring timely resolution of issues.
• Deliver in-house compliance training to enhance staff awareness of regulatory requirements and best practices.
• Participate in new product development and undertake ad-hoc projects as required.

Skills

Regulatory knowledge

English & Cantonese

Regulatory compliance

Self-motivated

Education

Bachelor's degree in Finance, Accounting, Law, Risk Management, or related disciplines

Tools

MS Office

Chinese word processing

Job description

Longbridge is an AI-Powered online brokerage that serves global investors with optimal trading experiences through building worldwide trading infrastructure and networks. Established in March 2019, Longbridge holds 22 financial licenses and qualifications across the United States, Singapore, Hong Kong, New Zealand and other regions, having secured over US $150 million in strategic investments from major financial and investment institutions. Its subsidiary, Longbridge Securities (Hong Kong) Limited (CE No.: BPX066), holds Type 1, 2, 4, and 9 licenses issued by the Hong Kong Securities and Futures Commission (SFC)

Key Responsibilities

• Identify and assess compliance risks associated with the company's development initiatives and daily operations.
• Stay updated on new or revised regulatory rules and legal requirements relevant to various business units.
• Review and approve marketing materials and communications to ensure alignment with regulatory standards.
• Monitor and track remedial actions arising from compliance monitoring activities, ensuring timely resolution of issues.
• Deliver in-house compliance training to enhance staff awareness of regulatory requirements and best practices.
• Participate in new product development and undertake ad-hoc projects as required

Requirements

• Bachelor's degree in Finance, Accounting, Law, Risk Management, or related disciplines.
• Minimum 5 years of relevant experience in the finance and banking industry. Experience in professional services firm is a bonus.
• Strong knowledge of SFC rules and regulations pertaining to Type 1, 2, 4, and 9 regulated activities.
• Proficiency in MS Office applications (Excel, PowerPoint, Word) and Chinese word processing software.
• Highly independent, self-motivated, and adaptable.
• Excellent command of written and spoken English and Cantonese; proficiency in Putonghua required.