Junior Compliance Officer

Retu Management Consulting Limited; Hong Kong Island; Presencial; HKD 350.000 - 550.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Performance bonus

Descripción de la vacante

RETU is seeking a compliance professional to report to the Head of Compliance and manage day-to-day cross-border compliance operations from Hong Kong. You will execute surveillance, conduct KYC/CDD/EDD reviews, and support the broader regulatory strategy in a lean, high-calibre team from day one.

The role requires 1–3 years in compliance or AML/CFT, with solid knowledge of HK and international regulations, and fluency in English, Cantonese, and Mandarin.

Formación

• Bachelor's degree in Law, Finance, Business Administration, or related discipline.
• 1–3 years of experience in compliance, AML/CFT, internal audit, or financial operations.
• Foundational knowledge of Hong Kong and international financial regulations (SFC / HKMA / FATF / AMLO / TCSP).
• High proficiency in data evaluation tools and strong attention to detail.
• Fluency in English, Cantonese, and Mandarin (written and spoken).

Responsabilidades

• Conduct daily transaction monitoring, log analysis, and compliance data auditing to identify and flag suspicious activities or compliance gaps.
• Perform routine KYC/CDD/EDD reviews, compile client onboarding files, and assist in preparing draft STR/SAR documentation for senior sign-off.
• Execute and log statutory CDD and record-keeping mandates in strict accordance with the Hong Kong Companies Registry TCSP licensing regime.
• Assist in tracking, preparing, and maintaining corporate filings, notifications of changes in particulars, and annual renewals required to support the group's TCSP licensee status.
• Maintain and organize regulatory tracking logs, reporting calendars, and internal documentation across key jurisdictions (FSA, CySEC, ASIC, FSC, FSCA, TCSP).
• Support the maintenance of internal compliance policies and SOPs, and assist in preparing cross-functional training materials.
• Assist in gathering documents and data sets required for routine regulatory correspondence, license applications, and external audits.
• Perform regular checks on client fund segregation protocols and financial control records under senior guidance.

Conocimientos

Data analysis

Attention to detail

Regulatory knowledge

English Cantonese Mandarin

Educación

Bachelor's degree in Law, Finance, Business Administration

Herramientas

Data analysis tools

Descripción del empleo

You will report directly to the Head of Compliance and handle day-to-day multi-jurisdictional compliance operations. This role is ideal for an analytical and detail-oriented compliance professional who wants to execute core surveillance, conduct client onboarding reviews, and support the broader regulatory compliance strategy in a lean, high-calibre team from day one.

Key responsibilities

• Conduct daily transaction monitoring, log analysis, and compliance data auditing to identify and flag suspicious activities or compliance gaps
• Perform routine KYC/CDD/EDD reviews, compile client onboarding files, and assist in preparing draft STR/SAR documentation for senior sign-off
• Execute and log statutory CDD and record-keeping mandates in strict accordance with the Hong Kong Companies Registry TCSP licensing regime
• Assist in tracking, preparing, and maintaining corporate filings, notifications of changes in particulars, and annual renewals required to support the group's TCSP licensee status
• Maintain and organize regulatory tracking logs, reporting calendars, and internal documentation across key jurisdictions (FSA, CySEC, ASIC, FSC, FSCA, TCSP)
• Support the maintenance of internal compliance policies and SOPs, and assist in preparing cross-functional training materials
• Assist in gathering documents and data sets required for routine regulatory correspondence, license applications, and external audits
• Perform regular checks on client fund segregation protocols and financial control records under senior guidance

About you

• Bachelor's degree in Law, Finance, Business Administration, or a related discipline
• 1–3 years of experience in compliance, AML/CFT, internal audit, or financial operations
• Foundational knowledge of Hong Kong and international financial regulations (SFC / HKMA / FATF / AMLO / TCSP)
• High proficiency in data evaluation tools and strong attention to detail
• Fluency in English, Cantonese, and Mandarin (written and spoken)
• Broad, direct exposure to multi-jurisdictional regulatory compliance tasks from day one
• Fast-moving, low-bureaucracy environment where you will work directly alongside high-calibre industry leaders
• Competitive salary and performance bonus commensurate with experience
• Hong Kong office with international regulatory exposure
• Clear progression path: Compliance Officer -> Senior Compliance Officer -> Jurisdictional Compliance Head / Responsible Officer (RO)

About us

RETU is an algorithm-native, multi-licensed financial services group. We take an AI-Native approach to retail derivatives trading and are now building our core Hong Kong compliance team.