Compliance Manager

拔萃國際資產管理有限公司; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

拔萃國際資產管理有限公司 is seeking a Compliance Manager in Hong Kong to oversee daily compliance operations and build a regulatory system. Reporting to the Head of Risk and Legal Compliance, the role will ensure adherence to SFC guidelines and AML/CFT standards in a licensed environment.

The candidate will implement policies, monitor licence conditions, prepare regulatory reports, and coordinate with SFC inspections while maintaining KYC data quality and risk assessments for client onboarding.

Qualifications

• Bachelor's degree or above in law, finance, accounting, economics or related field.
• HKSI LE licence (Type 1, 4, 9) preferred.
• CAMS or AML certification preferred.
• 3+ years of compliance, risk control or legal work experience in HK licensed firms.
• Experience with SFC licensing and AML/CFT familiarity.

Responsibilities

• Execute and maintain compliance manuals, internal policies and procedures per SFC guidelines.
• Monitor licence conditions, identify deviations and report promptly.
• Establish monitoring dashboards and prepare regular compliance reports for management.
• Submit regular and ad-hoc regulatory reports.
• Coordinate with SFC Intermediaries Department and inspections.
• Track SFC rule changes and provide impact assessments and policy updates.
• Execute CDD, EDD and UBO identification.
• Review STRs to ensure AML guidance compliance.
• Maintain AML/KYC data quality and liaise with system audits.
• Manage suitability processes ensuring products match customer risk tolerance.

Skills

AML compliance

Regulatory compliance

SFC guidelines

Risk assessment

Education

Bachelor's degree in law/finance/economics

Tools

SFC AML/KYC systems

Job description

The Compliance Manager will be responsible for daily compliance operations and building a regulatory compliance system. The role reports to the Head of Risk and Legal Compliance and is based in Hong Kong.

Key responsibilities

Execute and maintain compliance manuals, internal policies and operating procedures in accordance with SFC Code of Conduct for Licensed or Registered Persons and related guidelines

Monitor compliance with licence conditions, identify compliance deviations and report them promptly

Assist in establishing compliance monitoring dashboards and prepare regular compliance reports for management

Prepare and submit regular and ad-hoc regulatory reports

Assist in maintaining daily communication with SFC Intermediaries Department and coordinate with regulatory inspections and enquiry responses

Track SFC rule changes and provide management with compliance impact assessments and policy update recommendations

Execute Customer Due Diligence (CDD), Enhanced Due Diligence (EDD) and Ultimate Beneficial Owner (UBO) identification

Review Suspicious Transaction Reports (STR) to ensure compliance with SFC AML guidelines

Maintain AML/KYC system data quality and coordinate with system audits

Execute suitability management processes to ensure products match customer risk tolerance

About you

Bachelor's degree or above in law, finance, accounting, economics or related field

HKSI LE licence (Type 1, 4, 9) preferred

CAMS or other AML professional certification preferred

3 or more years of compliance, risk control or legal work experience in Hong Kong licensed corporations

Must have practical compliance experience in SFC licensed institutions and be familiar with compliance baseline requirements for Type 1, Type 4 and Type 9 licences

Practical AML/CFT experience with KYC review experience for high-net-worth clients or cross-border business

Experience with regulatory inspection response, regulatory enquiry replies or licence maintenance

Deep understanding of the Securities and Futures Ordinance (SFO), Code of Conduct for Licensed or Registered Persons and SFC related guidelines

Familiarity with fund valuation compliance, independent custody of client assets and investment suitability management requirements

Ability to independently review financial transaction documents and identify compliance risks