Senior Compliance Manager

Alexis Services Limited; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

Alexis Services Limited seeks a Manager/Senior Manager, Compliance to deliver timely and robust compliance guidance for daily operations and novel financial instruments. You will oversee audits, regulator inquiries, and FATCA/CRS alignment while coordinating with multiple business units and external counsel.

Strong HK/US regulatory knowledge is essential. The role requires 4–6 years in financial services compliance, with a university degree in a related field; you will influence senior leaders

Qualifications

• University degree in Law, Finance, Accounting, Business Administration, or related discipline.
• 4–6 years of compliance experience in financial services (retail banking, wealth management, or capital markets).
• Strong knowledge of regulatory frameworks in Hong Kong and the United States.
• Solid understanding of SFC rules, codes, and guidelines.
• Analytical, self-motivated with ability to work under pressure.
• Collaborative team contributor with strong problem-solving skills.

Responsibilities

• Deliver timely, robust, and uniform compliance advice regarding daily operations and new financial instruments.
• Execute routine compliance surveillance and internal monitoring to mitigate operational risk.
• Serve as primary contact for audits, investigations, and regulator inquiries.
• Oversee FATCA and CRS adherence, refining related workflows.
• Partner with business units to address regulatory questions with actionable recommendations.
• Negotiate with senior leadership and coordinate with external counsel and consultants.
• Design and implement internal controls, policies, and workflows to ensure regulatory alignment.
• Formulate ethical, streamlined reporting structures to enhance transparency.
• Lead special compliance projects as directed by leadership.

Skills

Analytical thinking

Self-starting

Team collaboration

Problem solving

Regulatory knowledge

Education

Bachelor's degree or equivalent

Job description

Manager/Senior Manager, Compliance role responsible for delivering timely, robust, and uniform compliance advice and interpretations regarding daily business operations and the launch of novel financial instruments within the financial services sector.

Key responsibilities

Deliver timely, robust, and uniform compliance advice and interpretations regarding daily business operations and the launch of novel financial instruments

Execute routine compliance surveillance and internal monitoring programs to mitigate operational risk

Serve as the primary point of contact for managing audits, formal investigations, and routine inquiries from governing regulatory bodies

Oversee operational adherence to FATCA and CRS frameworks, including the evaluation and refinement of related internal workflows

Partner with various business units to address regulatory queries, providing actionable recommendations to align operations with current standards

Negotiate with and influence senior leadership across diverse departments, as well as coordinate with external legal counsel and independent consultants

Design and implement internal controls, corporate policies, and operational workflows to guarantee full alignment with statutory mandates

Formulate ethical, streamlined reporting structures to elevate corporate transparency

Spearhead special compliance projects and fulfill additional duties as directed by executive leadership

About you

University degree in Law, Finance, Accounting, Business Administration, or a closely related discipline

4 to 6 years of dedicated compliance experience within the financial services sector, with practical exposure to retail banking, wealth management, or capital markets activities

Solid grasp of financial instruments alongside the regulatory frameworks governing both the Hong Kong and United States markets

Strong working knowledge of the rules, codes, and guidelines enforced by the Securities and Futures Commission (SFC)

Analytical thinker and self-starter capable of managing tight deadlines and thriving in high-pressure environments

Collaborative team contributor possessing strong lateral problem-solving capabilities