Compliance Supervisor

Chung Yick Tung Finance Technology Limited; Hong Kong; On-site; HKD 420,000 - 560,000; Full time

Benefits offered by this job

Medical insurance

Professional development

Regulatory training

Flexible work arrangements

Job summary

Chung Yick Tung Finance Technology Limited is seeking a Compliance Supervisor to join our Banking & Financial Services team in a full-time capacity, based in Central, Hong Kong. You will oversee daily compliance operations, ensuring regulatory adherence and safeguarding clients across our financial services activities.

The role requires 3-5 years in compliance or risk management, supervisory experience, strong AML/KYC knowledge, and fluency in English and Cantonese (Mandarin preferred).

Qualifications

• 3-5 years' experience in a compliance or risk management role within banking/financial services.
• Demonstrated supervisory or team leadership experience.
• Strong knowledge of AML and KYC frameworks and related regulatory requirements.
• Solid understanding of Banking Ordinance, Securities and Futures Ordinance and HK regulations.
• Proficiency with compliance systems and transaction monitoring software.

Responsibilities

• Supervise and coordinate daily compliance activities to ensure regulatory requirements are met across operations.
• Monitor and review transactions, communications and documentation for compliance with laws and policies.
• Develop and implement compliance procedures, controls and risk mitigation measures.
• Conduct compliance training and awareness sessions for staff.
• Prepare reports for senior management and regulators as required.
• Liaise with internal departments and regulators to address queries and investigations.
• Identify gaps and recommend corrective actions to improve processes.
• Support investigation of breaches and document findings.

Skills

Supervisory experience

AML knowledge

KYC procedures

Analytical skills

Communication skills

Education

Diploma in Compliance (ACAMS) or equivalent

Tools

Transaction monitoring software

Compliance systems

Job description

About the role

Chung Yick Tung Finance Technology Limited is seeking a Compliance Supervisor to join our Banking & Financial Services team in a full-time capacity, based in Central, Central and Western District. This is a pivotal role within our Compliance & Risk department, where you will oversee compliance operations and ensure that our organisation maintains the highest standards of regulatory adherence. As Compliance Supervisor, you will play a crucial part in safeguarding our business, protecting our clients, and upholding the integrity of our financial operations in an increasingly complex regulatory environment.

Key responsibilities

Supervise and coordinate the daily compliance activities of the team, ensuring all regulatory requirements are met and maintained across all business operations

Monitor and review transactions, communications and documentation to ensure compliance with applicable laws, regulations and company policies

Develop and implement compliance procedures, policies and controls to mitigate regulatory risks

Conduct compliance training and awareness sessions for staff members across the organisation

Prepare compliance reports and provide regular updates to senior management and regulatory bodies as required

Liaise with internal departments and external regulatory authorities to address compliance queries and investigations

Identify compliance gaps and recommend corrective actions to improve processes and procedures

Support the investigation of compliance breaches and incidents, documenting findings and implementing remedial measures

Maintain comprehensive compliance documentation and ensure accurate record-keeping in accordance with regulatory standards

Stay abreast of regulatory developments and changes to ensure the organisation remains compliant with evolving requirements

What we're looking for

A minimum of 3-5 years' experience in a compliance or risk management role within the banking and financial services sector

Demonstrated supervisory or team leadership experience, with the ability to manage and develop junior compliance staff

Strong knowledge of financial regulations, anti-money laundering (AML) requirements, know-your-customer (KYC) procedures and other relevant compliance frameworks

Excellent understanding of Banking Ordinance, Securities and Futures Ordinance and other applicable Hong Kong regulatory requirements

Proficiency in compliance systems, transaction monitoring software and relevant IT tools

Strong analytical and problem-solving skills with meticulous attention to detail

Excellent communication and interpersonal skills, with the ability to explain complex compliance concepts to colleagues at all levels

Professional qualifications such as Diploma in Compliance (ACAMS) or equivalent professional certification preferred

Fluency in English and Cantonese (written and verbal) essential; Fluency in Mandarin is a must.

What we offer

At Chung Yick Tung Finance Technology Limited, we recognise that our employees are our greatest asset. We offer a competitive remuneration package commensurate with your experience and qualifications. Beyond salary, we provide comprehensive benefits including medical insurance coverage, professional development opportunities to support your compliance career progression, and ongoing training in regulatory updates and industry best practices. We are committed to fostering a collaborative and supportive work environment where your contributions are valued and your career growth is encouraged. We believe in maintaining a healthy work-life balance and offer flexible arrangements where possible to support the wellbeing of our team members.

About us

Chung Yick Tung Finance Technology Limited is a prominent player in the Banking & Financial Services sector, dedicated to delivering innovative financial solutions whilst maintaining the highest standards of regulatory compliance and ethical conduct. Our commitment to excellence, integrity and client satisfaction has positioned us as a trusted partner within the financial industry. We operate with a strong emphasis on compliance and risk management, recognising that robust governance is fundamental to sustainable business success. Our team is comprised of talented professionals who are passionate about upholding regulatory standards and contributing to a secure and trustworthy financial ecosystem.