Senior Associate / Associate, Compliance

Eddid Financial Holdings Limited; Hong Kong; On-site; HKD 700,000 - 1,100,000; Full time

Job summary

Eddid Financial Holdings Limited, anchored in Hong Kong, is hiring a Senior Associate / Associate, Compliance. The role delivers actionable compliance advisory to retail and institutional brokerage, global markets, and other Group operations.

Responsibilities include updating policies and internal controls to meet regulatory standards, enforcing internal policies, conducting staff training on compliance, and liaising with regulators such as the SFC and HKEX.

Qualifications

• University degree in Law, Finance, or a related discipline.
• Minimum of 5 years of solid compliance experience within the financial services industry, with a strong focus on SFC-licensed corporations.
• In-depth understanding of the SFO, SFC Codes and Guidelines, and HKEX Rules and Guidance.
• Exposure to other financial sectors (e.g., Insurance Brokerage, Money Lending, or the Chinese Gold and Silver Exchange) is highly advantageous.
• Highly meticulous, self-motivated, and capable of working independently in a fast-paced environment.
• Exceptional communication skills, with excellent written and spoken English, Cantonese, and Mandarin.
• Candidates with less experience will be considered for the Senior Analyst role.
• Immediately available candidates are highly preferred.

Responsibilities

• Deliver actionable compliance advisory to diverse business units, encompassing retail and institutional brokerage, global markets, and broader Group operations.
• Maintain and update company policies, internal control frameworks, and manuals to ensure strict alignment with regulatory standards, while continuously monitoring institutional adherence.
• Drive the implementation and enforcement of internal corporate policies as well as external statutory regulations (including SFC and HKEX mandates).
• Develop and conduct comprehensive staff training programs regarding compliance guidelines, best practices, and regulatory expectations.
• Act as a key liaison with regulatory bodies such as the SFC and HKEX, effectively managing inquiries, inspections, and requests.
• Advise the operations team on complex compliance matters, offering robust guidance on due diligence, AML/KYC protocols, and client suitability assessments.
• Proactively monitor and assess the impact of new regulatory developments published by the SFC, HKEX, FATCA, and other relevant authorities.
• Support broader Group compliance functions, extending to Money Lenders Licences, Licensed Insurance Intermediaries, and Trust or Company Service Provider (TCSP) operations.

Skills

Compliance advisory

Regulatory knowledge

AML/KYC

Written and spoken English

Cantonese and Mandarin

Education

University degree in Law or Finance

Job description

Senior Associate / Associate, Compliance

Anchored in Hong Kong, Eddid Financial is an all-encompassing financial group centered around fintech and dedicated to integrating latest technologies into its enterprise DNA. The diversified businesses of Eddid Financial range from retail to institutional and include but are not limited to fintech, internet finance, wealth management, asset management, investment banking, and digital assets.

Eddid Financial is committed to providing one-stop financial services and products to customers through high-quality investment solutions. Members of the Group hold a variety of licenses and memberships across key financial markets. These include Hong Kong Securities and Futures Commission (SFC) regulated activities ("RA") licenses for types 1, 2, 3, 4, 5, 6, and 9; SEHK and HKCC participant (OTP-C broker number: 0974 and 0977), Insurance Broker Company license; Trust or Company Service Provider License in Hong Kong.

Additionally, our fully owned U.S. broker-dealer subsidiary, Eddid Securities USA Inc., maintains approved membership with the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC), and the Nasdaq Stock Market LLC (NQX), the New York Stock Exchange (NYSE) and NYSE American, and is a registered with the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) in the United States.

Our Singapore subsidiary, Eddid Financial Singapore Pte. Ltd., holds the Capital Markets Services License (License No.: CMS101839) issued by the Monetary Authority of Singapore (MAS).

With a view to catching up with our rapid expansion, we are sincerely hiring talents to join our Group.

Key elements of the job:

Deliver actionable compliance advisory to diverse business units, encompassing retail and institutional brokerage, global markets, and broader Group operations.

Maintain and update company policies, internal control frameworks, and manuals to ensure strict alignment with regulatory standards, while continuously monitoring institutional adherence.

Drive the implementation and enforcement of internal corporate policies as well as external statutory regulations (including SFC and HKEX mandates).

Develop and conduct comprehensive staff training programs regarding compliance guidelines, best practices, and regulatory expectations.

Act as a key liaison with regulatory bodies such as the SFC and HKEX, effectively managing inquiries, inspections, and requests.

Advise the operations team on complex compliance matters, offering robust guidance on due diligence, AML/KYC protocols, and client suitability assessments.

Proactively monitor and assess the impact of new regulatory developments published by the SFC, HKEX, FATCA, and other relevant authorities.

Support broader Group compliance functions, extending to Money Lenders Licences, Licensed Insurance Intermediaries, and Trust or Company Service Provider (TCSP) operations.

Undertake ad-hoc compliance initiatives and strategic projects as required.

The ideal candidate:

University degree in Law, Finance, or a related discipline.

Minimum of 5 years of solid compliance experience within the financial services industry, with a strong focus on SFC-licensed corporations.

In-depth understanding of the SFO, SFC Codes and Guidelines, and HKEX Rules and Guidance.

Exposure to other financial sectors (e.g., Insurance Brokerage, Money Lending, or the Chinese Gold and Silver Exchange) is highly advantageous.

Highly meticulous, self-motivated, and capable of working independently in a fast-paced environment.

Exceptional communication skills, with excellent written and spoken English, Cantonese, and Mandarin.

Candidates with less experience will be considered for the Senior Analyst role.

Immediately available candidates are highly preferred.

We offer an exciting career opportunity to the successful candidate. All information provided will be treated in strict confidence and used solely for recruitment purposes.

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