Compliance Officer (SFC Type 1/4/9)

Experis; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

Experis in Hong Kong is seeking a compliance professional to support SFC Type 1, 4, 9 regulated businesses and enhance the company-wide compliance culture.

You will report to the Head of Compliance, provide daily advisory to business teams, manage licensing matters with the SFC, draft and update policies, and oversee AML/CTF controls and conflicts-of-interest governance. Fluency in English, Cantonese and Mandarin is required.

Qualifications

• Bachelor degree or equivalent in Law/Finance/Accounting or related field.
• Strong knowledge of SFO and SFC codes, AML/CTF rules.
• Fluent in English, Cantonese and Mandarin.
• Independent, detail-minded and able to handle multiple tasks under pressure.

Responsibilities

• Provide daily compliance advice to business teams and assess risks for operations, new products and contracts.
• Be main contact with SFC; handle licence matters and regulatory filings.
• Draft and update compliance policies & SOPs.
• Manage Chinese walls, conflict-of-interest, staff trading monitoring and AML/CTF controls.
• Conduct compliance reviews, track SFC regulatory updates, organise compliance training.
• Handle ad-hoc compliance tasks.

Skills

SFC knowledge

Regulatory risk mgmt

Advisory skills

Policy drafting

Stakeholder mgmt

Education

Bachelor degree in Law/Finance/Accounting

Job description

Report to Head of Compliance. Deliver compliance support for SFC Type 1,4,9 regulated businesses, manage regulatory risks and build company‑wide compliance culture.

Key responsibilities

Give daily compliance advice to business teams; assess risks for operations, new products and contracts

Be main contact with SFC; handle licence matters and regulatory filings

Draft and update compliance policies & SOPs

Manage Chinese walls, conflict‑of‑interest, staff trading monitoring and AML/CTF controls

Conduct compliance reviews, track SFC regulatory updates, organize compliance training

Handle ad‑hoc compliance tasks

About you

Bachelor degree in Law / Finance / Accounting or related

Practical knowledge of SFO, SFC codes and AML/CTF rules

Fluent in English, Cantonese and Mandarin

Independent, detail‑minded, able to handle multiple tasks under pressure