Compliance Manager (Fargo Space)

Fargo Wealth Group; Hong Kong; On-site; HKD 900,000 - 1,400,000; Full time

Job summary

Fargo Wealth Group in Hong Kong seeks an experienced Compliance Manager to oversee regulatory compliance frameworks, mitigate risks, and ensure adherence to financial regulations across the company’s licensed entity. The role requires strategic thinking and deep expertise in SFC requirements.

You will act as the primary liaison for SFC, design compliance programs, lead audits, and mentor junior teams while developing training to foster a culture of integrity.

Qualifications

• 8+ years of compliance experience in SFC 1/4/9 roles.
• Proven expertise in SFC-regulated environments.
• Excellent communication in English and Cantonese.

Responsibilities

• Act as primary contact for SFC and regulatory bodies.
• Design and implement compliance policies and controls.
• Lead audits, internal reviews and investigations.
• Develop and deliver advanced compliance training.
• Prepare regulatory filings and risk reports to authorities.
• Oversee licensing applications and employee trading surveillance.
• Represent Compliance in cross-functional projects.

Skills

Regulatory compliance

Leadership

Stakeholder management

Communication (Eng/Cantonese)

Education

Bachelor’s degree or higher in Law/Finance/Business

Tools

Compliance tools

Regulatory frameworks knowledge

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
• 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.