Senior Compliance & Licensing Advisory Analyst

BOCI; Hong Kong; On-site; HKD 480,000 - 720,000; Full time

Job summary

BOCI is seeking an Analyst/Associate in Compliance Advisory and Regulatory Management within Internal Control and Legal & Compliance in Hong Kong. The role covers licensing, regulatory liaison with the SFC and Insurance Authority, and advisory support for new hires, business changes, and product reviews.

The successful candidate will maintain licensing records, monitor regulator updates, and contribute to policy updates and staff training.

Qualifications

• Degree holder in Business, Finance, Law, or related disciplines.
• Minimum 5 years of hands-on compliance experience in securities brokerage or financial institutions.
• 2+ years of HK or overseas experience is an advantage.
• Strong knowledge of SFC and Insurance Authority licensing requirements and guidelines.
• Solid understanding of SFC Code of Conduct and regulatory policies.
• Experience in advisory and product/business reviews is a plus.
• Fluent in Mandarin, English and Cantonese; written and spoken proficiency required.
• Organized, detail-oriented, and able to work under pressure.

Responsibilities

• Manage SFC license applications and regulatory filings.
• Liaise with regulators and coordinate inquiries with internal stakeholders.
• Maintain licensing records, registers, and audit readiness.
• Advise on licensing requirements for hires and business changes.
• Monitor regulatory updates and circulars from regulators.
• Assist gap analyses and update internal policies.
• Provide preliminary compliance advice to business teams.
• Support policy/procedure reviews reflecting regulatory changes.
• Prepare compliance training materials on licensing obligations.
• Support business teams on regulatory interpretation for new initiatives.
• Assist in internal reporting and team projects.

Skills

SFC licensing

Regulatory compliance

Stakeholder liaison

Policy advisory

Mandarin

Cantonese

English

Attention to detail

Education

Bachelor's degree in Business/Finance/Law

Job description

BOCI is seeking an Analyst/Associate in Compliance Advisory and Regulatory Management within Internal Control and Legal & Compliance in Hong Kong. The role covers licensing, regulatory liaison with the SFC and Insurance Authority, and advisory support for new hires, business changes, and product reviews.

The successful candidate will maintain licensing records, monitor regulator updates, and contribute to policy updates and staff training.