Senior Compliance Lead — SFC/HKEX Focus

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

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.