Compliance Manager, SFC Type 6 - Corporate Finance

Lego Corporate Finance Limited; Hong Kong; On-site; HKD 700,000 - 1,200,000; Full time

Job summary

Lego Corporate Finance Limited is seeking a Compliance Manager to oversee SFC Type 6 regulated activities and drive compliance across IPO and corporate finance projects. The role includes managing investigations, licensing, and policy updates, with strong emphasis on regulatory adherence in a dynamic market.

The ideal candidate will have a law, accounting, or finance background and at least five years of Type 6 experience, with fluency in English and Chinese (Mandarin).

Qualifications

• Bachelor’s degree in Law, Accounting, Finance, or related disciplines.
• Minimum 5 years of relevant experience in SFC-licensed firms, with hands-on Type 6 (corporate finance) compliance experience.
• Experience handling SFC investigations, regulatory enquiries, or similar matters.
• Sound knowledge of SFC Codes and Guidelines and HKEX Listing Rules.
• Strong communication and interpersonal skills; fluent in English and Chinese, including Mandarin.

Responsibilities

• Oversee and manage all compliance matters relating to the firm’s SFC Type 6 regulated activities, with focus on reviews of IPO and other corporate finance projects.
• Perform control room functions, including pre-transaction conflicts checks, monitoring of staff personal account dealing.
• Act as the primary liaison with the SFC and other regulators; handle regulatory investigations, enquiries, and surveys in a timely and professional manner.
• Handle the SFC licensing matters, notifications and related filings.
• Review and advise on legal and compliance-related contracts and documentation.
• Design, implement, and update compliance policies, manuals, and internal control procedures in accordance with evolving regulatory requirements.
• Conduct regular compliance review to ensure ongoing adherence to regulatory requirements and internal standards.
• Deliver ongoing compliance training to staff.
• Manage other compliance tasks and ad-hoc projects as assigned.

Skills

Regulatory knowledge

Communication

Interpersonal skills

Independent work

Education

Bachelor’s degree in Law, Accounting, Finance, or related disciplines

Job description

Lego Corporate Finance Limited is seeking a Compliance Manager to oversee SFC Type 6 regulated activities and drive compliance across IPO and corporate finance projects. The role includes managing investigations, licensing, and policy updates, with strong emphasis on regulatory adherence in a dynamic market.

The ideal candidate will have a law, accounting, or finance background and at least five years of Type 6 experience, with fluency in English and Chinese (Mandarin).