Compliance VP

ACCA Careers; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

ACCA Careers seeks a seasoned Compliance professional in Hong Kong to advise diverse business units on SFC Type 1, 4, and 9 regulations and to architect robust workflows that meet regulatory standards. You will audit group-wide manuals, oversee periodic reviews, and partner with the MLRO on AML/CFT frameworks, ensuring strict adherence across entities.

You will lead regulatory filings, manage inquiries, and oversee training programs to embed a culture of integrity.

Qualifications

• Bachelor's degree in Law, Finance, Business Administration or equivalent.
• Minimum 5 years of regulatory compliance experience in licensed bank, regulator, or advisory firm.
• Comprehensive knowledge of SFO, FMCO Code of Conduct and AML laws; Money Lenders Ordinance a plus.
• Strong analytical and independent judgement with risk mitigation.
• Excellent English communication; Chinese skills preferred.

Responsibilities

• Provide expert compliance advice to business units on SFC Type 1, 4 and 9 rules.
• Design and implement robust operational workflows to meet SFC expectations.
• Audit and update group-wide compliance manuals for subsidiaries.
• Lead regulatory reviews and compile gap-analysis reports.
• Collaborate with MLRO to strengthen AML/CFT controls.
• Review external communications and marketing collateral for compliance.
• Manage regulatory filings and respond to inquiries promptly.
• Govern restricted securities lists and handle related inquiries.
• Develop and deliver compliance training programs across the firm.

Skills

Regulatory compliance

SFC regulations

AML / CFT

Risk assessment

Analytical thinking

Education

Bachelor's degree in Law, Finance, Business Administration

Job description

About The Company. An industry-leading financial services conglomerate in Hong Kong, celebrated for its expansive investment portfolio and unwavering commitment to regulatory integrity. This organisation champions a progressive, inclusive workplace where compliance professionals are empowered as strategic business partners, ensuring sustainable corporate growth and steadfast market trust.

About The Company. An industry-leading financial services conglomerate in Hong Kong, celebrated for its expansive investment portfolio and unwavering commitment to regulatory integrity. This organisation champions a progressive, inclusive workplace where compliance professionals are empowered as strategic business partners, ensuring sustainable corporate growth and steadfast market trust.

About The Team. You will integrate into a specialised, high-calibre compliance department characterised by collaboration and intellectual rigour. Operating with significant autonomy, this team partners closely with front-line sales, investment, and risk divisions. It is a supportive, transparent environment designed to cultivate leadership and reward proactive regulatory oversight.

About The Job.

• Deliver expert compliance advise to diverse business units (including sales, investments, risk, and operations) regarding SFC Type 1, 4, and 9 regulations.
• Architect and execute robust operational workflows to meet and exceed SFC regulatory expectations.
• Formulate, audit, and update group-wide compliance manuals for all subsidiaries, including the SFC-licensed entity and licensed money lending entities.
• Execute comprehensive, periodic regulatory reviews and articulate strategic gap analysis reports.
• Partner with the MLRO and AML Compliance Officer to champion AML and CFT frameworks.
• Scrutinise and authorise external client communications and marketing collateral to ensure absolute compliance.
• Manage critical regulatory filings and orchestrate prompt, accurate responses to SFC and other regulatory enquiries.
• Govern the restricted securities list and resolve complex, related compliance inquiries.
• Design and deploy engaging compliance training programmes to embed a firm-wide culture of integrity.

skills & experience required.

• Bachelor's degree in Law, Finance, Business Administration, or an equivalent discipline.
• Minimum 5 years of experience navigating regulatory compliance within a licensed bank, regulator, SFC-licensed corporation, or advisory firm.
• Comprehensive mastery of the SFO, FMCC, Code of Conduct, and current AML legislation; knowledge of the Money Lenders Ordinance is highly advantageous.
• Exceptional analytical acumen with the capacity to exercise independent judgement and proactively mitigate risks.Demonstrated integrity and a collaborative mindset, operating with the utmost professional accountability.
• Outstanding communication capabilities, requiring fluency in English and ideally fluency in written and spoken Chinese.