Compliance Manager – AML/CFT & Regulatory Risk Leader

Ping An Securities (Hong Kong) Holdings Company Limited; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

Ping An Securities (Hong Kong) Holdings Company Limited is seeking a Compliance Manager/Senior Compliance Manager to provide practical compliance advice to front and middle/back office in Hong Kong.

The role requires handling complex compliance issues with a strong knowledge of SFC rules, and guiding licensing applications. You will support the department head on AML/CFT inquiries, investigations, and regulatory examinations, while collaborating with internal stakeholders on projects.

Qualifications

• Bachelor’s degree or above in related field
• 6+ years of experience handling complex compliance issues
• Sound knowledge of SFC rules and securities business
• Proficiency in English and Chinese (Mandarin)

Responsibilities

• Provide practical compliance advice to front and middle back office
• Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
• Provide guidance to junior member on licensing applications and provide advice on licensing issues
• Assist the department head to advise business stakeholders on AML/CFT related inquiries and matters
• Assist the department head to conduct internal investigation and draft conclusion report
• Collaborate closely with internal stakeholders for implementation of compliance related projects
• Handle regulatory requests, inquiries and examinations in a proper and timely manner
• Perform ad-hoc assignments as assigned

Skills

SFC rules knowledge

English & Chinese

Independent work

Interpersonal skills

Education

Bachelor’s Degree or above

Job description

Ping An Securities (Hong Kong) Holdings Company Limited is seeking a Compliance Manager/Senior Compliance Manager to provide practical compliance advice to front and middle/back office in Hong Kong.

The role requires handling complex compliance issues with a strong knowledge of SFC rules, and guiding licensing applications. You will support the department head on AML/CFT inquiries, investigations, and regulatory examinations, while collaborating with internal stakeholders on projects.