Compliance Manager (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

Compliance Manager (Type 6 / Corporate Finance)

Oversee and manage all compliance matters relating to the firm’s SFC Type 6 regulated activities, with particular focus on conducting compliance 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 the 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.

Job Requirements:

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 is strongly preferred.

Solid experience on handling SFC investigations, regulatory enquiries, or similar matters.

Sound knowledge of SFC Codes and Guidelines and HKEX Listing Rules.

Strong communication and interpersonal skills; self‑motivated and able to work independently.

Good command of spoken and written English and Chinese, including Mandarin.