Compliance Officer

Dewei Capital Limited; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

Dewei Capital Limited seeks an experienced compliance professional to join as Compliance Officer, a core pillar of our SFC Type 4&9 licensed operations. Design, implement and maintain a fit-for-purpose compliance framework for a Type 4&9 licensed corporation, including policies, procedures and monitoring programmes.

You will oversee regulatory reporting to the SFC, including incident reporting, licence applications, and ongoing submissions; act as the primary compliance liaison with the SFC,

Qualifications

• Degree in Law, Finance, or related discipline.
• CFA, CAMS, or HKICS qualifications are advantageous.
• 2+ years of compliance experience in Hong Kong asset management.

Responsibilities

• Design, implement and maintain a fit-for-purpose compliance framework for a Type 4&9 licensed corporation, including policies, procedures and monitoring programmes
• Ensure adherence to the SFC Code of Conduct, Fund Manager Code of Conduct, AML/CTF Guidelines, and all applicable SFC circulars and codes
• Oversee regulatory reporting to the SFC, including incident reporting, licence applications, and ongoing submissions
• Act as the primary compliance liaison with the SFC, external counsel, and internal stakeholders (including the RO, board, and investment teams)
• Conduct compliance monitoring, risk assessments, and reviews of marketing materials, PPMs, and investor communications
• Maintain and enhance AML/KYC and investor onboarding frameworks
• Advise on cross-border regulatory matters, including fund structuring (SPC/LPF/OFC), SFC authorisation processes, and MIC compliance structure requirements

Skills

Regulatory compliance

SFC licensing (Type 4/9)

AML/KYC frameworks

Regulatory reporting

Stakeholder engagement

MS Excel

Education

Degree in Law or Finance

CFA

CAMS

HKICS

Tools

MS Office

Regulatory reporting systems

Job description

We are seeking an experienced compliance professional to join us as our Compliance Officer, a core pillar of our SFC Type 4&9 licensed operations.

Key responsibilities

Design, implement and maintain a fit-for-purpose compliance framework for a Type 4&9 licensed corporation, including policies, procedures and monitoring programmes

Ensure adherence to the SFC Code of Conduct, Fund Manager Code of Conduct, AML/CTF Guidelines, and all applicable SFC circulars and codes

Oversee regulatory reporting to the SFC, including incident reporting, licence applications, and ongoing submissions

Act as the primary compliance liaison with the SFC, external counsel, and internal stakeholders (including the RO, board, and investment teams)

Conduct compliance monitoring, risk assessments, and reviews of marketing materials, PPMs, and investor communications

Maintain and enhance AML/KYC and investor onboarding frameworks

Advise on cross-border regulatory matters, including fund structuring (SPC/LPF/OFC), SFC authorisation processes, and MIC compliance structure requirements

About you

Degree in Law, Finance, or related discipline; CFA, CAMS, or HKICS qualifications are advantageous

Above 2 years of relevant compliance experience within Hong Kong asset management, ideally with exposure to SFC Type 9 licence holders

Solid understanding of the SFC regime and hands‑on experience acting as or supporting an MIC

Strong working knowledge of the Securities and Futures Ordinance (SFO), SFC Code of Conduct, and Fund Manager Code of Conduct

Experience with SFC fund authorisation processes, private fund structures (PE, hedge funds, OFC), and investor-facing documentation

Proven ability to engage directly with the SFC and manage regulatory examinations or enquiries

Fluency in English and Chinese (Cantonese and Mandarin) required for regulatory and stakeholder engagement

Good interpersonal skills and ability to communicate effectively with internal/external stakeholders

Strong organizational and time management skills with ability to prioritize tasks and perform effectively within strict deadlines

Proficient in the use of MS Office tools in particular MS Excel