Compliance Manager/Senior Manager - Big 4 Compliance Welcome

Alexis Services Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Alexis Services Limited in Hong Kong seeks a Compliance Manager/Senior Manager to ensure adherence to the SFO and SFC codes, with deep knowledge of cash and derivatives markets. You will oversee a hybrid brokerage and discretionary portfolio management model, supervising AML/CTF, and leading regulatory reporting.

The role requires 7+ years in HK compliance within an SFC-licensed firm, a Bachelor’s degree in Law/Finance/Accounting, and fluent English and Cantonese.

Qualifications

• 7+ years of compliance experience in HK financial services.
• Experience in an SFC-licensed entity.
• Strong knowledge of SFO and SFC codes.
• Bachelor's degree in Law, Finance, or related field.

Responsibilities

• Provide day-to-day regulatory advisory across business lines.
• Oversee trade surveillance for futures contracts and market abuse.
• Lead oversight of client money and client securities/futures assets.
• Update and maintain the Compliance Manual and internal control policies.
• Assist MIC of Compliance in reporting to the SFC and during inspections.

Skills

SFC compliance

Regulatory advisory

Trade surveillance

AML/CTF

Cross-border liaison

Policies governance

Education

Bachelor's degree in Law/Finance/Accounting

Job description

Compliance Manager/Senior Manager - Big 4 Compliance Welcome

Responsible for ensuring the firm’s robust adherence to the Securities and Futures Ordinance (SFO) and SFC codes. Given the firm’s wide licensing scope, this role requires a deep technical understanding of both cash and derivatives markets. You will be managing the regulatory "fortress," overseeing a hybrid model of brokerage and discretionary portfolio management.

Responsibilities:

Comprehensive Regulatory Advisory: Provide day-to-day compliance guidance across all business lines, with a specialized focus on the distinct regulatory requirements.

Integrated Monitoring & Surveillance: Oversee trade surveillance programs tailored to the high-volatility nature of futures contracts. Ensure real-time monitoring systems are effectively identifying market abuse, wash trades, and position limit breaches.

Client Assets & Risk Controls: Lead the oversight of segregation of client money and securities/futures assets. Ensure that client funds are correctly handled according to the Client Money Rules and Client Securities Rules, particularly for futures contracts where margin management is critical.

Policy Governance: Update and maintain the Compliance Manual and internal control policies to reflect the specific complexities of managing both securities and derivatives portfolios.

SFC Liaison & Reporting: Assist the MIC of Compliance in reporting to the SFC regarding regulatory breaches, material changes in business, and periodic financial returns. Coordinate the firm’s responses during regulatory inspections or thematic reviews.

AML & Financial Crime Prevention: Supervise AML/CTF processes, ensuring robust KYC/CDD procedures are in place for both retail and institutional clients, with specific attention to the higher-risk profiles sometimes associated with derivatives trading.

Requirements:

Experience: 7+ years in compliance within the Hong Kong financial industry, with proven experience in an SFC-licensed corporation.

Technical Expertise: SFC experience is fundamental to the role

Education: Bachelor’s degree in Law, Finance, Accounting, or a related field.

Soft Skills: Strong critical thinking for navigating complex trade conflicts; ability to translate technical regulatory requirements into "business-friendly" language for front-office teams.

Languages: Fluency in English and Cantonese is essential; Mandarin is highly preferred for dealing with cross-border stakeholders.