Manager / Assistant Manager, Compliance & Risk

KOS International Limited; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

KOS International Limited is seeking a hands-on Manager or Assistant Manager, Compliance & Risk in Central, Hong Kong. You will oversee daily compliance monitoring, risk controls, regulatory governance, and policy development within a fast-paced financial services environment.

The role requires 4–6 years of regulatory experience, knowledge of SFC Conduct and Type 4/9 activities, and the ability to implement robust control frameworks with strong attention to detail.

Qualifications

• Bachelor's degree in Law, Finance, Risk Management, or a related discipline.
• Approximately 4-6 years of experience in regulatory compliance, risk management, internal audit, or a similar function within Hong Kong's financial services industry.
• Practical knowledge of the SFC Code of Conduct and Type 4 / Type 9 regulated activities.
• Experience in trade surveillance, compliance monitoring, KYC/AML, or investment operations is highly desirable.
• Demonstrated ability to develop or significantly improve policies, procedures, and control frameworks.
• Strong attention to detail, analytical ability, and organisational skills.
• Holder of relevant SFC Responsible Officer or Representative licences is advantageous; candidates currently pursuing the relevant licences will also be considered.
• Good command of written and spoken English and Chinese.

Responsibilities

• Conduct daily post-trade surveillance and monitoring for internal and external fund partners.
• Review executed trades against fund mandates, pre-trade instructions, and broker confirmations.
• Perform T+1 trade reconciliations and investigate any discrepancies or potential breaches.
• Monitor staff personal trading activities and identify potential conflicts of interest.
• Develop, review, consolidate, and enhance internal compliance policies and procedures.
• Establish a structured framework for contract signing, tracking, and ongoing management.
• Support client and business-partner onboarding, including KYC and AML compliance checks.
• Assist with verification procedures relating to Financial Resources Rule calculations.
• Conduct pre-trade verification or sign-off for large or complex orders when required.
• Prepare monthly compliance reports for senior management, covering surveillance findings, breaches, and remedial actions.
• Contribute to the development of a strong ethical and compliance-focused corporate culture.
• Maintain sufficient independence and elevate concerns where activities may create regulatory, operational, or conflict-of-interest risks.

Skills

Attention to detail

Analytical ability

Organisational skills

Independent

Regulatory mindset

Education

Bachelor's degree in Law, Finance, Risk Management, or a related discipline

Job description

Manager / Assistant Manager, Compliance & Risk

Manager / Assistant Manager, Compliance & Risk

Location: Central, Hong Kong
Employment Type: Full-time
Reporting to: Chief Executive Officer

Our client, a growing financial services firm, is seeking a hands-on Manager or Assistant Manager, Compliance & Risk to oversee daily compliance monitoring, risk controls, regulatory governance, and operational framework development.
This role is ideal for a compliance or risk professional who is independent, detail-oriented, and confident in acting as an effective control gatekeeper in a fast-paced financial services environment.

Key Responsibilities

• Conduct daily post-trade surveillance and monitoring for internal and external fund partners.
• Review executed trades against fund mandates, pre-trade instructions, and broker confirmations.
• Perform T+1 trade reconciliations and investigate any discrepancies or potential breaches.
• Monitor staff personal trading activities and identify potential conflicts of interest.
• Develop, review, consolidate, and enhance internal compliance policies and procedures.
• Establish a structured framework for contract signing, tracking, and ongoing management.
• Support client and business-partner onboarding, including KYC and AML compliance checks.
• Assist with verification procedures relating to Financial Resources Rule calculations.
• Conduct pre-trade verification or sign-off for large or complex orders when required.
• Prepare monthly compliance reports for senior management, covering surveillance findings, breaches, and remedial actions.
• Contribute to the development of a strong ethical and compliance-focused corporate culture.
• Maintain sufficient independence and elevate concerns where activities may create regulatory, operational, or conflict-of-interest risks.

Requirements

• Bachelor's degree in Law, Finance, Risk Management, or a related discipline.
• Approximately 4-6 years of experience in regulatory compliance, risk management, internal audit, or a similar function within Hong Kong's financial services industry.
• Practical knowledge of the SFC Code of Conduct and Type 4 / Type 9 regulated activities.
• Experience in trade surveillance, compliance monitoring, KYC/AML, or investment operations is highly desirable.
• Demonstrated ability to develop or significantly improve policies, procedures, and control frameworks.
• Strong attention to detail, analytical ability, and organisational skills.
• Mature, independent, and confident in challenging non-compliant instructions or practices.
• Holder of relevant SFC Responsible Officer or Representative licences is advantageous; candidates currently pursuing the relevant licences will also be considered.
• Good command of written and spoken English and Chinese.