Compliance Manager - Securities

FortisHill Consulting; Hong Kong; On-site; HKD 420,000 - 640,000; Full time

Job summary

FortisHill Consulting is seeking a senior compliance professional in Hong Kong to provide daily regulatory guidance to brokerage, wealth, and asset management units. You will develop and maintain compliance manuals, conduct reviews, and manage SFC licensing processes.

A strong candidate will oversee AML/KYC checks and training for staff. The role requires 5+ years in securities compliance, deep SFO/SFC knowledge, and fluency in English, Cantonese, and Mandarin.

Qualifications

• Bachelor’s degree in Law, Finance, Accounting, or Business Administration.
• Minimum 5 years of solid compliance experience in securities / banking or regulator environment.
• In-depth understanding of SFO, SFC Codes of Conduct, AML guidelines in Hong Kong.
• Strong communication, analytical, and stakeholder relations skills.
• Excellent command of English, Cantonese and Mandarin.

Responsibilities

• Provide daily compliance advice to business units (brokerage, wealth, asset management).
• Maintain and update internal compliance manuals, policies, and procedures.
• Conduct routine and ad-hoc compliance reviews and monitoring programs.
• Handle SFC licensing applications, CPT records, and regulatory inquiries.
• Review and approve marketing materials and client communications for regulatory standards.
• Oversee account opening procedures, AML/KYC checks, and transaction monitoring.
• Develop and deliver regular compliance and AML training to staff and management.

Skills

Regulatory compliance

SFO knowledge

AML/KYC

Stakeholder management

English fluency

Cantonese

Mandarin

Education

Bachelor’s degree

Job description

• Provide daily compliance advice and guidance to business units (including brokerage, wealth management, and asset management) on new products, business initiatives, and operational matters.
• Develop, maintain, and update internal compliance manuals, policies, and procedures to ensure alignment with the latest Securities and Futures Ordinance (SFO) and SFC guidelines.
• Conduct routine and ad-hoc compliance reviews, trade surveillance, and monitoring programs to identify and mitigate potential regulatory risks.
• Handle SFC licensing applications, CPT records, and maintenance for the corporation and licensed representatives. Act as the key contact person for regulatory inquiries, inspections, and reporting.
• Review and approve marketing materials, client communications, and pitch books to ensure compliance with regulatory standards.
• Oversee account opening procedures, AML/KYC checks, and transaction monitoring to ensure compliance with anti-money laundering regulations.
• Develop and deliver regular compliance and AML training to internal staff and management.

Requirements:

• Bachelor’s degree in Law, Finance, Accounting, Business Administration, or a related discipline.
• Minimum 5 years of solid compliance experience, preferably gained from a securities firm, investment bank, or regulatory body (e.g., SFC).
• In-depth understanding of the SFO, SFC Codes of Conduct, AML guidelines, and other relevant regulatory requirements in Hong Kong.
• Strong analytical, problem-solving, and communication skills. Ability to work independently in a fast-paced environment and build strong relationships with front-line stakeholders.
• Excellent command of written and spoken English, Cantonese, and Mandarin.