Compliance Manager (Fargo Space)

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

Job summary

Leadingnation is seeking an experienced Compliance Manager to oversee regulatory compliance frameworks, mitigate risks, and ensure adherence to financial regulations across the company’s licensed entity in Hong Kong.

You will act as the primary liaison with the SFC and other regulators, design policies, lead audits, deliver training, and manage licensing and reporting, driving a culture of integrity and strong governance.

Qualifications

• Bachelor’s degree or higher in Law, Finance, Business, or related fields.
• 8+ years in compliance experience in SFC 1/4/9.
• Excellent English and Chinese/Cantonese communication.
• Proven leadership and stakeholder management.

Responsibilities

• Act as the primary point of contact for SFC and other regulatory bodies, ensuring compliance with Type 4/9 licensed activities and evolving regulations.
• Design, implement, and enhance compliance policies, controls, and monitoring systems to mitigate operational and trading risks.
• MIC of Compliance; AML&CFT
• Lead compliance audits, internal reviews, and investigations, providing actionable recommendations to senior management.
• Advise business units on compliance implications for new products, transactions, and operational changes.
• Develop and deliver advanced compliance training programs to foster a culture of integrity and awareness across the organization.
• Prepare and submit regulatory filings, disclosures, and risk reports to the SFC and other authorities.
• Oversee licensing applications, personal conduct inquiries, and employee trading surveillance.
• Spearhead ad-hoc projects (e.g., regulatory impact assessments, fintech compliance frameworks) and represent Compliance in cross-functional initiatives.

Skills

SFC 1/4/9 experience

Regulatory liaison

Leadership

English & Cantonese

Education

Bachelor’s degree or higher in Law, Finance, Business, or related fields

Tools

Compliance tools

Job description

About the Role:

We are seeking an experienced Compliance Manager to oversee regulatory compliance frameworks, mitigate risks, and ensure adherence to financial regulations across the company’s licensed entity. This role requires a strategic thinker with deep expertise in SFC/regulatory requirements, capable of leading compliance initiatives and mentoring junior teams.

Key Responsibilities:

1. Regulatory Compliance & Risk Management:

• Act as the primary point of contact for SFC and other regulatory bodies, ensuring compliance with Type 4/9 licensed activities and evolving regulations


• Design, implement, and enhance compliance policies, controls, and monitoring systems to mitigate operational and trading risks.


• MIC of Compliance; AML&CFT

2. Leadership & Advisory:

• Lead compliance audits, internal reviews, and investigations, providing actionable recommendations to senior management.


• Advise business units on compliance implications for new products, transactions, and operational changes.

3. Training & Culture:

• Develop and deliver advanced compliance training programs to foster a culture of integrity and awareness across the organization.

4. Reporting & Governance:

• Prepare and submit regulatory filings, disclosures, and risk reports to the SFC and other authorities.


• Oversee licensing applications, personal conduct inquiries, and employee trading surveillance.

5. Strategic Projects:

• Spearhead ad-hoc projects (e.g., regulatory impact assessments, fintech compliance frameworks) and represent Compliance in cross-functional initiatives.

Qualifications & Skills:

• Bachelor’s degree or higher in Law, Finance, Business, or related fields.


• 8+ years in compliance experience in SFC 1/4/9, with proven expertise in SFC-regulated environments.


• Proficiency in compliance tools, familiarity with HKMA, MAS MiFID, SEC, or other global frameworks is a plus.


• Strong leadership, stakeholder management, and decision-making abilities.


• Excellent communication in English and Chinese/Cantonese.


• Proactive, detail-oriented, and adaptable to regulatory changes in fast-paced environments.