Compliance Manager - SFC Regulation & Derivatives

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

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.