Senior Compliance Advisor - Regulatory Risk & Controls

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

Job summary

BOCI is seeking a compliance professional to support the Core Compliance team in regulatory filings, reporting, and advisory projects in Hong Kong.

The role involves advising on regulatory interpretation for lines of business, including commodities, fixed income, and structured products, and delivering training to promote a culture of compliance across the group. Strong Mandarin, English and Cantonese skills are required.

Qualifications

• Degree holder in Business, Finance, Law, or related disciplines.
• Minimum 6 years of hands-on compliance experience in securities brokerage or financial institutions.
• Candidates with over 2 years of full time working experience in Hong Kong or overseas is advantageous.
• Sound knowledge of investment products including commodities, fixed income and structured products.
• Robust understanding of SFC Code of Conducts, licensing and regulatory policies.
• Experience in business compliance advisory and new product/review is an advantage.
• Proficiency in written and spoken Mandarin, English and Cantonese.
• Organized and detail-oriented; able to work under pressure.

Responsibilities

• Liaise with regulators (SFC, Insurance Authority); manage inquiries and coordinate with stakeholders.
• Manage regulatory reporting and filings, monitor regulation updates and draft governance documents.
• Review operational workflows, internal controls and governance.
• Conduct regular risk reviews and actively manage compliance issues to improve policies.
• Provide business compliance advisory for new products and initiatives.
• Deliver training and promote a strong culture of compliance; support internal reporting/ projects.
• Assist in ad hoc projects as required by team leader and management.

Skills

Mandarin language fluent

English language fluent

Cantonese language fluent

Regulatory compliance

Communication skills

Analytical thinking

Education

Degree in Business/Finance/Law

Relevant disciplines

Job description

BOCI is seeking a compliance professional to support the Core Compliance team in regulatory filings, reporting, and advisory projects in Hong Kong.

The role involves advising on regulatory interpretation for lines of business, including commodities, fixed income, and structured products, and delivering training to promote a culture of compliance across the group. Strong Mandarin, English and Cantonese skills are required.