Compliance & Risk Manager – Financial Services (HK)

SR Wealth Securities Limited; Hong Kong; Vor Ort; HKD 420.000 - 660.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Regulatory knowledge

Policy development

Audit skills

AML/CTF/KYC

Training staff

Communication

Documentation

Ausbildung

Compliance qualification

Jobbeschreibung

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.