Compliance Manager

Longbridge Singapore; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Longbridge is seeking an experienced Compliance professional in Hong Kong to identify and mitigate regulatory risks across development initiatives and daily operations. You will stay updated on SFC rules and ensure all marketing materials meet standards.

The role involves training staff, monitoring remediation actions, and collaborating on new product developments, with a focus on high professional integrity, independence, and bilingual communication in English and Cantonese.

Qualifications

• Bachelor degree in finance, accounting, law, risk management or related disciplines.
• Minimum 5 years of relevant experience in finance/banking.
• Strong knowledge of SFC rules for Type 1, 2, 4 and 9 activities.
• Proficiency in MS Office and Chinese word processing software.
• Excellent written and spoken English and Cantonese; Putonghua required.

Responsibilities

• Identify and assess compliance risks associated with development initiatives and daily operations.
• Stay updated on new or revised regulatory rules and legal requirements for various business units.
• Review and approve marketing materials to ensure regulatory alignment.
• Monitor and track remedial actions from compliance monitoring activities.
• Deliver in-house compliance training to staff.
• Participate in new product development and ad-hoc projects.

Skills

MS Office

English proficiency

Cantonese proficiency

Putonghua proficiency

Education

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

Job description

About Us

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)

Job Description

About Us

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.