HK Funds Compliance Lead — SFO/SFC Expert

Bright Smart Securities International (H.K.) Limited; Hong Kong; On-site; HKD 700,000 - 1,100,000; Full time

Benefits offered by this job

Competitive remuneration package

5 Days Work & Bank Holidays

Attendance Bonus

Discretionary Bonus

Medical Insurance

Job summary

Bright Smart Securities International (H.K.) Limited is seeking a Compliance professional to act as the main liaison between fund management teams and Hong Kong regulators, ensuring ongoing regulatory adherence and timely submissions.

The role focuses on HK SFC funds, SFO obligations, and distribution compliance, with responsibilities to draft and update policies, manage client complaints, deliver staff training, and monitor regulatory developments.

Qualifications

• Bachelor degree in Law, Finance, Business or related field.
• At least 6 years of compliance experience in the financial industry, with HK SFC funds / authorization.
• In-depth understanding of the Securities and Futures Ordinance (SFO) and the SFC Code of conduct and fund compliance

Responsibilities

• Act as a key point of contact between the fund(s)’ management team and relevant regulators for ongoing compliance matters, regulatory inquiries, and submission coordination
• Ensure the funds and related operations continuously comply with applicable Hong Kong regulatory requirements, including relevant codes, SFC requirements, and statutory obligations under the Securities and Futures Ordinance (SFO)
• Ensure compliance with the regulatory requirements for distribution of investment products issued by SFC including but not limited to suitability assessments, electronic dissemination and marketing guidelines and circulars
• To draft, update and maintain the firm's policies and manuals of the regulated activities
• To manage the investigation and resolution of any client complaints in accordance with regulatory timelines, and liaise with the regulatory bodies
• To organize and deliver training to all licensed staff
• To monitor changes in the regulatory landscape and provide impact assessments to senior management

Skills

Regulatory knowledge

SFC compliance

Bilingual drafting

Communication skills

HK regulator experience

Education

Bachelor's degree in Law, Finance, or related field

Job description

Bright Smart Securities International (H.K.) Limited is seeking a Compliance professional to act as the main liaison between fund management teams and Hong Kong regulators, ensuring ongoing regulatory adherence and timely submissions.

The role focuses on HK SFC funds, SFO obligations, and distribution compliance, with responsibilities to draft and update policies, manage client complaints, deliver staff training, and monitor regulatory developments.