[HK] Compliance Officer

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

Job summary

LTP is seeking a senior compliance professional in Hong Kong to ensure regulatory adherence for the local entity. The role requires strong knowledge of SFC Type 1, 2, 4, 5, 9 licensing standards and AML/CFT practices, with experience in fintech or blockchain-related industries preferred.

The candidate will develop policies, perform risk assessments, and lead training and regulatory communications, working closely with HK and Group Compliance in a dynamic startup fintech environment.

Qualifications

• At least 5 years experience in Compliance functions in SFC Type 1, 2, 4, 5, 9 licensed corporations within the financial services sector.
• Knowledge and understanding of financial services regulations, compliance, policies, processes and procedures.
• Proficiency in licensing of SFC would be advantageous.
• Proficiency in compliance applications and programmes such as Sumsub, Chainalysis.

Responsibilities

• Ensure compliance with all applicable laws and regulatory requirements locally.
• Develop and implement compliance policies and procedures for the local entity to meet SFC requirements.
• Conduct local regular reporting and notifications to regulatory authorities.
• Assess emerging issues and risks and escalate to HK CEO, HK and Group Compliance.
• Report compliance activities and audits to HK Compliance and the Board.
• Ensure corrective actions for deficiencies in CMS and/or non-compliance.
• Maintain AML/CFT policy and conduct risk assessments.
• Provide regular compliance training to staff.
• Liaise with regulatory bodies and law enforcement regarding compliance matters.
• Other Adhoc tasks assigned by HK and Group Compliance.

Skills

Compliance experience

Communication skills

Stakeholder management

Analytical skills

Time management

Education

Bachelor Degree or above

Tools

Sumsub

Chainalysis

Job description

• Ensure compliance with all applicable laws and regulatory requirements locally.
• Develop and implement compliance policies and procedures, compliance manuals and other relevant documents for the local entity to meet the requirements of SFC.
• Conduct relevant local regular reporting, notification, application to regulatory authorities accordingly.
• Assess emerging issues and risks and promptly elevate issues to HK CEO, HK and Group Compliance.
• Report compliance activities and audits to HK Compliance and the Board.
• Ensure appropriate corrective actions are taken for deficiencies in the CMS and/or non-compliance.
• Develop, implement and maintain an up-to-date AML/CFT policy that complies with applicable regulations.
• Conduct regular risk assessments to identify and mitigate money laundering and terrorism financing risks.
• Ensure timely and accurate reporting of suspicious activities to relevant authorities.
• Carry out and ensure the implementation of customer due diligence (CDD) and enhanced due diligence (EDD) procedures.
• Conduct KYT due diligence reviews in a timely manner and suggest potential action points.
• Maintain comprehensive records of all AML/CFT activities and reports.
• Provide regular compliance training to staff.
• Liaise with regulatory bodies and law enforcement agencies regarding compliance matters.
• Other Adhoc tasks assigned by HK and Group Compliance.

Requirements :

• At least 5 years experience in Compliance functions in SFC Type 1, 2, 4, 5, 9 licensed corporations within the financial services sector (KYC/KYB/KYT experience in Fintech or blockchain related industrywould be deemed an advantage).
• Knowledge and understanding of financial services regulations, compliance, policies, processes and procedures (Experience and knowledge in SFC Type 1, 2, 4, 5, 9 Regulation would be deemed essential).
• Knowledge and experience of licensing of SFC would be deemed an advantage.
• Proficiency in compliance applications and programmes such as Sumsub, Chainalysis etc.
• Interest in blockchain and digital assets, and willingness to work with other teams in a highly collaborative start-up fintech environment.
• Well organised, detail oriented, presentable and with excellent communication skills (both verbal and written) in English (Proficency in Mandarin would be deemed an advantage for internal communication, since the company is a multinational one with many Tech employees who can speak Chinese only).
• Problem solving, time management, analytical, and investigative skills.
• Professional qualifications pertinent to the financial services sector (ACAMS, or equivalent AML certification)
• Demonstrated ability to analyse complex regulatory requirements and implement practical solutions.
• Exceptional communication and stakeholder management skills.
• Be open to performing other responsibilities associated with the position.

Personal Attributes

Responsible，Reliable，Open-minded and Good team spirit

Knowledge:

• SFC Type 1, 2, 4, 5, 9 regulation;
• VA/Crypto Industry

Educational background and recommended majors:

• Bachelor Degree or above

Skills:

• Compliance experience

Experiences:

• Manager Level or above

Working experiences:

• Any SFC Type 1, 2, 4, 5, 9 licensed corporation;
• VA/Crypto Industry
• Experience in starting-up and building up licensed corporation