Compliance Officer / Manager

SR Wealth Securities Limited; Hong Kong; On-site; HKD 420,000 - 660,000; Full time

Job summary

SR Wealth Securities Limited in Hong Kong is seeking a Compliance Officer / Manager to join our team on a full-time basis at our Sheung Wan office. You will develop and maintain compliance programmes to protect clients and stakeholders while ensuring regulatory adherence.

The role requires 3-5 years of compliance experience, strong HK regulatory knowledge, AML/CTF/KYC expertise, and the ability to train staff and coordinate with regulators and auditors.

Qualifications

• Minimum 3–5 years of compliance or regulatory experience in financial services.
• Strong knowledge of Hong Kong financial regulations.
• Experience developing and implementing compliance programmes.
• AML/CTF/KYC expertise.
• Excellent written and spoken English and Chinese.

Responsibilities

• Develop and maintain comprehensive compliance policies, procedures and frameworks.
• Monitor adherence to HK regulations including SFC and other regulatory bodies.
• Conduct regular compliance audits and risk assessments.
• Investigate breaches and document findings; recommend corrective actions.
• Provide staff training on compliance requirements and regulatory obligations.
• Maintain compliance records and evidence of regulatory adherence.
• Liaise with regulators, auditors and legal advisors for examinations and audits.
• Deliver compliance updates to senior management and the board.
• Identify emerging regulatory changes and assess their impact.
• Support management of conflicts of interest, AML/CTF/KYC compliance.
• SFC license experience (Type 1, 2, 4, 9) preferred.

Skills

Regulatory knowledge

Policy development

Audit skills

AML/CTF/KYC

Training staff

Communication

Documentation

Education

Compliance qualification

Job description

About us

SR Wealth Securities Limited is a dynamic and growing financial services company operating within the financial services sector. We are committed to maintaining the highest standards of integrity, transparency and regulatory compliance. Our mission is to provide exceptional financial services whilst building a workplace where our talented team members can thrive and develop their careers. We pride ourselves on our culture of professionalism, accountability and continuous improvement.

About the role

We are seeking a Compliance Officer / Manager to join our team on a full-time basis at our office located in Sheung Wan, Central and Western District. This is a crucial position within our organisation, where you will play an integral part in ensuring that SR Wealth Securities Limited operates in full compliance with all relevant regulatory requirements, internal policies and industry standards. You will be responsible for developing, implementing and maintaining compliance programmes that protect the organisation, its clients and stakeholders. This role offers significant strategic importance as it directly supports our ability to operate responsibly and maintain our reputation within the financial services industry.

Key responsibilities

• Developing, implementing and maintaining comprehensive compliance policies, procedures and frameworks tailored to the organisation's business activities and regulatory environment
• Monitoring and ensuring adherence to all applicable financial services regulations, including those set by the Securities and Futures Commission (SFC) and other relevant regulatory bodies
• Conducting regular compliance audits and risk assessments to identify areas of potential non-compliance or operational risk
• Investigating compliance breaches and violations, documenting findings and recommending corrective actions
• Providing training and guidance to staff across all departments on compliance requirements, regulatory obligations and best practices
• Maintaining accurate and detailed compliance records, documentation and evidence of regulatory adherence
• Liaising with external regulators, auditors and legal advisors to ensure smooth regulatory examinations and audits
• Developing and delivering regular compliance communications and updates to senior management and the board
• Identifying emerging regulatory changes and assessing their impact on the organisation's operations
• Supporting the management of conflicts of interest, market conduct and anti-money laundering (AML) compliance
• Experience gained from SFC licensed corporations conducting Type 1, 2, 4 and 9 regulated activities will be highly preferred

What we're looking for

• A recognised qualification in compliance, risk management, law or related field, or equivalent professional experience
• Minimum 3-5 years of compliance or regulatory experience, preferably within a banking, securities or financial services environment
• Strong knowledge of financial services regulations and compliance frameworks, particularly those applicable in Hong Kong
• Demonstrated expertise in developing and implementing compliance programmes and policies
• Excellent understanding of anti-money laundering (AML), counter-terrorism financing (CTF) and know-your-customer (KYC) requirements
• Proven ability to conduct compliance audits and assess regulatory risks effectively
• Strong analytical and problem-solving skills with meticulous attention to detail
• Excellent written and verbal communication skills with the ability to explain complex compliance concepts clearly
• Proficiency in English and Chinese (written and spoken) is essential